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Seward & Kissel Regulatory Compliance (SKRC) is the first of its kind – a full-scale compliance solution provided by Seward & Kissel, LLP, a leading U.S. law firm in the investment management industry. SKRC advises clients, which includes emerging and established investment advisers, private fund managers and commodity trading advisors, on the evolving regulatory and compliance landscape.

SKRC offers a broad range of compliance services, such as outsourced compliance program management and support, regulatory legal advice and consulting, mock audits, SEC exam response and more. We tailor every engagement to our clients’ needs, with a practical, hands on approach. Leveraging the Firm’s 75+ years of extensive legal, governmental and regulatory experience, SKRC provides unparalleled counsel to its clients, helping them navigate the complex regulatory environment and mitigate regulatory risk.

SKRC’s areas of expertise include:

  • Legal Advice on Regulatory Compliance
  • Outsourced Compliance Support
  • SEC RIA and ERA Registration
  • CFTC Registration
  • SEC Mock Audits and Exam Preparation
  • SEC Exam Response and Support
  • Compliance Manual Administration
  • Form ADV Amendments
  • Annual Compliance Review
  • Compliance Training
  • Compliance Testing and Review
  • Personal Trading
  • Conflicts of Interests
  • Portfolio Management Processes
  • Trading and Best Execution

  • Trade Allocation
  • Restricted List and Watch List
  • Expense Allocation
  • Valuation Policy
  • Electronic Communications
  • Custody Rule Compliance
  • Marketing Material Review
  • Privacy and Safeguarding of Client Data
  • Books & Records Retention
  • Risk Assessments
  • Business Continuity Plan
  • Cybersecurity Policies and Procedures
  • Regulatory Filings such as Form PF, 13F and 13H
  • Insider Trading and MNPI Training
  • Security Breach Response