Advising Family Office Clients on Recurring Legal, Tax, and Business Issues
Navigating Investment Adviser Act, Employment, Executive Compensation, Tax, and ERISA Issues
Note: CPE credit is not offered on this program
Recording of a 90-minute premium CLE video webinar with Q&A
This CLE course will discuss legal issues attendant with advising family offices established by high net worth individuals and families. The program will discuss the Investment Advisers Act, employment and executive compensation, and U.S. and foreign income tax issues.
Outline
- The role of the family office
- Legal aspects of designing, implementing, and operating a family office
- Tax issues and considerations
- Current issues
Benefits
The panel will review these and other key issues:
- What are the regulatory compliance issues for counsel assisting in structuring family offices?
- What is the scope of the SEC exemptions for a family office registering as an investment adviser?
- What are some of the key tax issues for family offices?
Faculty
Bradley E. Phipps
Partner
DLA Piper
Mr. Phipps's practice focuses on the establishment and operation of domestic and international private investment... | Read More
Mr. Phipps's practice focuses on the establishment and operation of domestic and international private investment funds, co-investment and other related investment vehicles and separate account arrangements. This practice covers assets classes such as real estate, venture capital and private equity, private credit, hedge and commodities. He advises clients on fund structure, drafting disclosure and fund documents and negotiations with investors, placement agents and other service providers.
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David Solander
Partner
DLA Piper
Mr. Solander advises financial services firms regarding the various regulatory, compliance, and transactional matters... | Read More
Mr. Solander advises financial services firms regarding the various regulatory, compliance, and transactional matters that arise in the asset management industry globally. He focuses primarily on representing and advising managers of private funds, including hedge/trading, private equity, real estate, venture capital, and other alternative structures. He guides them through the regulatory issues arising under the Investment Company Act of 1940, the Investment Advisers Act of 1940, and other federal securities laws. Mr. Solander also provides compliance advice to managers of all sizes with respect to internal compliance reviews and assessments of new and existing compliance programs.
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Aalok Virmani
Partner
Cooley
Mr. Virmani counsels investment fund sponsors on the domestic and international tax aspects of forming, organizing and... | Read More
Mr. Virmani counsels investment fund sponsors on the domestic and international tax aspects of forming, organizing and operating venture capital funds, private equity funds, real estate funds, hedge funds, debt funds and funds of funds. He frequently represents clients with respect to general partner-led fund restructurings, US and non-US investor representations, secondary transactions and minority investments in fund sponsors. In addition, Mr. Virmani often advises founders on the establishment of their investment management firms, including advising them on the organizational structure, employment matters, carried interest allocations and capital commitment funding strategies.
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