SCA’s investment advisory regulatory and compliance services cover multi-family offices and single family offices that do not qualify for the exclusion from SEC registration under the Family Office Rule. Family office clients may present unique regulatory issues based upon the types of services they provide to family members and the fact that single family offices have not historically been structured in the same manner as commercial advisers. For these reasons, many family offices require a highly individualized approach to compliance with the Advisers Act.
At SCA, we recognize the unique regulatory challenges facing family offices and offer services specifically designed to meet these challenges. At the outset of a family office engagement we spend the time necessary to understand and work through the regulatory issues with the client. This initial work lays the foundation for the development of a customized compliance program that will provide practical solutions to regulatory issues and meet SEC expectations.
We offer a broad range of customized services designed to assist our family office clients including the evaluation of regulatory requirements, registration with the SEC, compliance program development, ongoing compliance support, SEC mock exams and training.