May 28, 2024 SEC and FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers May 23, 2024 Partner Bradley Fay Interviewed in Hedge Fund Law Report Article Titled, “Impact of Amendments to QPAM Exemption on ERISA Funds” April 16, 2024 SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees April 7, 2024 SEC Charges Five Advisers with Violations of the Marketing Rule; SEC Staff Releases Risk Alert on Marketing Rule Compliance April 24, 2024 SEC Settles Charges with Adviser for Recordkeeping Violations and Staff Lays Out Factors Considered in Determining What Penalties to Recommend for Off-Channel Communications Violations April 18, 2024 SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date April 4, 2024 SEC Settles Charges with Advisers for Marketing Rule Violations Related to AI Washing March 4, 2024 SEC Settles Charges with Adviser for Failing to Disclose Influencer’s Role in Promoting ETF March 1, 2024 FinCEN Proposes New Rule to Subject Advisers to AML Requirements February 12, 2024 Tax partner Brett Cotler authors article for Private Equity Law Report titled, “Tax Court Ruling Is a Setback for Fund Managers Structured As Limited Partnerships” January 25, 2023 SEC Settles Charges Against Firm for Disclosing MNPI on Block Trades January 24, 2023 SEC Settles Charges Against Firm for Alleged Whistleblower Protection Rule Violations January 22, 2024 Seward & Kissel attorneys co-authored a chapter for the ICLG – ESG Law 2024 titled, “U.S. Legal and Compliance Issues Relating to ESG for Private Fund Advisers” January 5, 2023 SEC Settles Charges Against Private-Equity Firm for Alleged Disclosure Policy Failures January 3, 2023 The ‘40 Act Blog Top 10 of 2023 Load more