Investment Management Group partners Daniel Bresler and Debra Franzese along with associate Theodore Kaminski have been featured in a Hedge Fund Law Report article titled, “Common SEC Exam Issues for Large Advisers and How to Avoid Them.”

The article summarizes Seward & Kissel’s Regulatory Roundup series discussion on SEC examination challenges for large fund advisors, covering compliance with the Marketing Rule, conflicts of interest, and fee practices.

Click here to read the full article. Please note, this article may require a subscription.

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Debra Franzese

(212) 574-1353
franzese@sewkis.com

Daniel Bresler

(212) 574-1203
bresler@sewkis.com

Theodore Kaminski

(212) 574-1295
kaminski@sewkis.com

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