Practices
With over 30 years of investment management experience, Steve seeks to deliver a practical, solutions-based approach to his clients tailored to their particular needs. His ultimate goal for each engagement is to help drive business success, and not just provide strong legal advice. Through his large network, he is able to source industry trends and intelligence, which he seeks to impart on a real-time basis as part of his process to a wide variety of clients ranging from start-ups to very large, prominent institutions. His personable, highly responsive, pragmatic manner has earned him the reputation of being a “go to” lawyer in the alternative investment management arena.
He advises his clients through all aspects of their business life cycle from inception to growth to maturity on issues including: structure and formation, personnel and compensation situations, marketing and capital raising, strategic initiatives, and regulatory matters.
Steve joined Seward & Kissel in 1997 and became a partner in 2001. He is the lead author of numerous thought leadership pieces produced by the Firm, and is a highly sought after media source and speaker. He is recognized by Chambers, Legal 500 and other publications as a leading lawyer in investment management and, in 2022, Steve became just the seventh attorney inducted into the Legal 500 Hall of Fame for hedge funds and alternative investments. The Legal 500 Hall of Fame highlights individuals who have received constant praise from their clients for continued excellence.
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, “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, “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 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, “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
