Practices
Patricia A. Poglinco is a partner in and co-head of the Investment Management Group and a member of the Management Committee at Seward & Kissel. Pat joined Seward & Kissel in 1986 and has been a partner since 1994.
Pat’s practice specialties include the representation of investment advisers and related regulatory compliance; the formation and representation of private investment partnerships, group trusts and various offshore investment vehicles; the formation and CFTC registration of commodity pools, commodity pool operators and commodity trading advisors; the formation and ongoing representation of registered investment companies (open-end and closed-end funds) and their managers, distributors, underwriters and other service providers; and general securities and general corporate matters.
Pat regularly speaks at industry conferences, in the United States and abroad, on matters pertaining to the Investment Management industry and has been recognized as one of the leading attorneys in the industry by Chambers.
Publications
- Co-authored, “Seward & Kissel’s Investment Management 2023 Year in Review,” Seward & Kissel (March 14, 2024)
- Co-authored, “FinCEN Proposes AML Requirements for Certain Investment Advisers,” Seward & Kissel (March 7, 2024)
- Co-authored, “SEC Releases FAQ on Marketing Rule Compliance – Calculating Gross and Net Performance,” Seward & Kissel (February 9, 2024)
- Co-authored, “Seward & Kissel Registered Funds Group 2023 Highlights,” Seward & Kissel (February 8, 2024)
- Co-authored, “SEC Adopts Rules Expanding the Definitions of ‘Dealer’ and ‘Government Securities Dealer’,” Seward & Kissel (February 7, 2024)
- Co-authored, “FTC Announces 2024 HSR Filing Thresholds and Fee Schedule,” Seward & Kissel (February 5, 2024)
- Co-authored, “New Resources for Growth Equity and VC Managers,” Seward & Kissel (January 12, 2024)
- Co-authored, “FinCEN’s New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related Entities,” Seward & Kissel (January 2, 2024)
- Co-authored, “Countdown to Compliance with Tailored Shareholder Report Requirements: Key Considerations,” Seward & Kissel (December 6, 2023)
- Co-authored, “SEC Division of Examinations Announced 2024 Examination Priorities,” Seward & Kissel (November 28, 2023)
- Co-authored, “SEC Adopts Gross Short Position and Activity Reporting by Institutional Investment Managers,” Seward & Kissel (November 8, 2023)
- Co-authored, “SEC Adopts Amendments to the Fund ‘Names Rule’,” Seward & Kissel (November 6, 2023)
- Co-authored, “SEC Adopts Amendments to Regulation 13D-G,” Seward & Kissel (October 18, 2023)
- Co-authored, “Seward & Kissel Releases 2022/2023 Hedge Fund Side Letter Study,” Seward & Kissel (October 17, 2023)
- Co-authored, “SEC Proposes Improvements to EDGAR Filer Access and Account Management,” Seward & Kissel (October 3, 2023)
- Co-authored, “SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers,” Seward & Kissel (October 3, 2023)
- Co-authored, “Seward & Kissel Releases Second Edition of SPV Snapshot Report,” Seward & Kissel (September 20, 2023)
- Co-authored, “Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (September 18, 2023)
- Co-authored, “SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations,” Seward & Kissel (September 11, 2023)
- Co-authored, “Seward & Kissel Releases Third Edition of SMA Snapshot Report,” Seward & Kissel (September 6, 2023)
- Co-authored, “The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (August 25, 2023)
- Co-authored, “SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million,” Seward & Kissel (August 16, 2023)
- Co-authored, “The Modern De-SPAC and a Way Forward,” Seward & Kissel (July 27, 2023)
- Co-authored, “SEC Adopts Money Market Reforms,” Seward & Kissel (July 24, 2023 as revised August 4, 2023)
- Co-authored, “Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Providing MiFID II Requirements Research,” Seward & Kissel (July 17, 2023)
- Co-authored, “Seward & Kissel’s Established Manager Hedge Fund Study,” Seward & Kissel (June 20, 2023)
- Co-authored, “2022 Seed Transactions Deal Points Study,” Seward & Kissel (June 7, 2023)
- Co-authored, “Seward & Kissel’s 2022 New Manager Hedge Fund Study,” Seward & Kissel (May 17, 2023)
- Co-authored, “Building a Scalable Hedge Fund Business,” Seward & Kissel (April 19, 2023)
- Co-authored, “Off-Channel Communications: Action Items for Advisers,” Seward & Kissel (March 16, 2023)
Recognition
