Family office licensing requirements

Who this is for

• - Family offices
• - Family investment companies
• - Trust and corporate service groups
• - Private wealth teams

Trigger questions

• - Whose assets are managed and who controls the office?
• - Are services provided only to family entities or to external clients?
• - Does the office market funds, give advice, charge fees, or accept outside capital?

Common mistakes

• - Assuming the phrase family office removes all licence questions.
• - Ignoring outside capital, marketing, compensation, and advisory activity.

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