All in the Family – Introducing Family Owned Life Insurance™ (aka FOLI™)
Family Affair - Introducing Family Office Life Annuity (FOLA)
NGE On Demand: Insurance and Indemnity Issues for Family Offices with Angela Elbert
Family Offices and PE: Can't We All Get Along
Podcast: Key ESG Considerations for Family Offices and Foundations
The Commodity Futures Trading Commission published in the Federal Register on December 10, 2019 several amendments to the regulatory framework applicable to certain commodity pool operators (CPOs) and commodity trading...more
• Effective January 1, 2020, clarifying amendments to rules regarding communications with the public and use of promotional material will go into effect. • Effective February 1, 2020, CTA will be subject to new limitations...more
The CFTC’s proposal would largely codify existing exemptive, interpretive, and no-action relief in response to Project KISS market feedback. The US Commodity Futures Trading Commission (CFTC) has proposed amendments to its...more
In November and December 2014, the Commodity Futures Trading Commission (the “CFTC”) and Securities and Exchange Commission (“SEC”), respectively, issued guidance regarding the applicability of certain regulations to family...more
Editor’s Note: FINRA Rulemaking: In this issue we report on three recent FINRA rule amendments. The first amends the NASD rule on the use of customer account statements to require that member firms use more accurate...more
In November 2012, the CFTC's Division of Swap Dealer and Intermediary Oversight issued a no-action letter stating that the Division would not recommend that the CFTC take enforcement action against a family office for failure...more
The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued no-action relief for failure to register with the CFTC as a commodity trading advisor (CTA) to any...more
The CFTC previously granted family offices no-action relief from registration as commodity pool operators. That letter did not provide an exemption from registration as a commodity trading advisor. However, the CFTC has...more