In this industry podcast, FrontLine’s Founder and President Amy Lynch was exclusively interviewed on what the SEC may be considering in the wake of the Archegos fallout. Ms. Lynch reviews the events surrounding the failure of Archegos and how it has provided the SEC with the rationale to now scrutinize family offices. She responds to questions on how the SEC could currently conduct reviews of family offices and what may be on the horizon for increased oversight. According to Ms. Lynch, the SEC may seek to revise the current registration exemption and bring certain family offices under the Investment Adviser Act’s registration requirement, or it could propose reporting and disclosure requirements on certain transactions, likely those involving leverage and swaps. However, she stresses that the SEC should not be interested in clamping down on the strategies and creativity that family offices utilize for investing.
Podcast featuring Amy Lynch on prospects for family office regulation
FrontLine Compliance
