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.
Read moreThe information provided is not intended to be a comprehensive review of all developments in the law and practice, or to cover all aspects of those referred to.
Readers should take legal advice before applying it to specific issues or transactions.
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Originally published before the Ashurst Perkins Coie combination. See disclaimer.
