Family Offices

Family Office Relief from CPO Registration

by W. Scott McGinness Jr. | Miller & Martin PLLC on 2/26/2013

As noted in an earlier Client bulletin, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission (“CFTC”) issued a no-action letter dated November 29, 2012 enabling...more

Insight on Estate Planning - February/March 2013: Strong governance enhances a family business’s value

by Adler Pollock & Sheehan P.C. on 2/21/2013

Too often, family members view their business as a source of wealth without making sure that the company is managed by those best suited for the job. Good governance — carefully documented in writing — can help ensure a...more

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

CFTC Staff Provides Registration Relief for Family Offices

by Ropes & Gray LLP on 12/17/2012

On November 29, 2012, the Commodity Futures Trading Commission (“CFTC”) staff published relief for family offices that would otherwise be required to register with the CFTC as commodity pool operators (“CPOs”). This relief...more

CFTC Grants No-Action Relief to Certain Family Offices and Funds-of-Funds from Registration as CPOs

by Cole Beaubouef, Scott H. Moss | Lowenstein Sandler LLP on 12/11/2012

The Commodity Futures Trading Commission's ("CFTC’s") Division of Swap Dealer and Intermediary Oversight (the “Division”) recently provided no-action relief to certain family offices and certain managers of funds-of-funds...more

CFTC Issues Relief from CPO Registration to Funds of Funds, BDCs and Family Offices; NFA Issues Guidance on the Annual Affirmation...

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Alexander S. Holtan, Meltem F. Kodaman, more +Catherine M. Krupka, David T. McIndoe, Raymond A. Ramirez, Mark D. Sherrill, R. Michael Sweeney, Jr., Paul B. Turner | Sutherland Asbill & Brennan LLP on 12/10/2012

On November 29 and December 4, the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a series of no-action letters that afford relief from registration as a...more

CFTC Provides Relief from CPO Registration to Certain Family Offices

by Carolyn A. Jayne, Cary J. Meer, Lawrence B. Patent | K&L Gates LLP on 12/10/2012

Introduction The Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC” or “Commission”) recently issued CFTC Letter No. 12-37 (November 29, 2012), which...more

CFTC Staff No-Action Relief for Family Offices and Fund of Funds Operators

by Michael M. Philipp, Kaitlyn L. Piper, Michael A. Piracci, Zachary E. Vonnegut-Gabovitch, Dana D.C. Westfall | Morgan Lewis on 12/6/2012

Claims for relief from CPO registration by qualifying family offices and fund of funds operators must be filed by December 31. On November 29, the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer...more

"CFTC Staff Provides Family Offices With No-Action Relief From Commodity Pool Operator Registration"

by Maureen A. Donley, Lawrence D. Frishman, Daniel S. Konar II, Anastasia T. Rockas, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 12/5/2012

On November 29, 2012, the Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (Division) issued no-action relief from commodity pool operator (CPO) registration to family offices...more

CFTC Issues Relief for Family Offices

by Miller & Martin PLLC on 12/4/2012

A family office is, generally, a professional organization that is wholly-owned by clients in a family and is exclusively controlled (directly or indirectly) by one or more members of a family and/or entities controlled by a...more

CFTC Grants Relief to Family Offices From Commodity Pool Operator Rules

by Leonard, Street and Deinard - Dodd-Frank and... on 12/3/2012

The CFTC staff has issued a no-action letter regarding family offices. The letter states that staff will not recommend that the CFTC take enforcement action against the operators of family offices for failure to register as...more

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