Advising Single Family Offices: A Primer of Certain Investment Regulatory Considerations
In this article, Partner Jacqueline Duval and Counsel Christian Carlson discuss securities law and regulatory considerations applicable to the operations, activities, and holdings of family offices. They cover such topics as the Investment Advisers Act of 1940 (Advisers Act), the Commodity Exchange Act of 1936, securities law disclosure and reporting rules, the Hart-Scott-Rodino Act, the resale of restricted securities, and insider trading issues. They conclude by noting the increasingly important role in the asset management landscape played by family offices and emphasize the importance of monitoring the operations, structure, and investment holdings of the family office.
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Notice
Before proceeding, please note: If you are not a current client of Perkins Coie, please do not include any information in this e-mail that you or someone else considers to be of a confidential or secret nature. Perkins Coie has no duty to keep confidential any of the information you provide. Neither the transmission nor receipt of your information is considered a request for legal advice, securing or retaining a lawyer. An attorney-client relationship with Perkins Coie or any lawyer at Perkins Coie is not established until and unless Perkins Coie agrees to such a relationship as memorialized in a separate writing.