Dana Fleischman

Dana Fleischman

Latham & Watkins LLP

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SEC Staff Issues No-Action Relief to Broker-Dealers From Reg BI and Form CRS Obligations Related to Certain Family Offices

The no-action relief applies to family offices with at least US$50 million in total assets (Institutional Family Offices) and requires broker-dealers seeking to rely on the relief to establish and maintain specific additional...more

1/6/2021  /  Broker-Dealer , Family Offices , Financial Industry Regulatory Authority (FINRA) , Form CRS , Investment Advisers Act of 1940 , No-Action Relief , Regulation BI , Securities and Exchange Commission (SEC) , SIFMA
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