15 Clients + USD 25 M AUM

Exemption Limits per the Dodd-Frank Act

According to the exemption limits provided under the Dodd-Frank Act, asset managers are not required to register with the SEC. We believe that the following requirements stipulated by the Act are central:

  • As an asset manager, you may not operate a registered office in the US.
  • You serve fewer than 15 clients considered US persons.
  •  The total sum of your managed assets with US persons is less than USD 25 million.

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