March 30, 2017

Investment Adviser Sanctioned for Failure to Disclose Conflicted Revenue Arrangements

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March 30, 2017

Seward & Kissel LLP: 2016 Investment Management Facts

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March 28, 2017

SEC Adopts T+2 Settlement Cycle for Securities Transactions

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March 28, 2017

SEC Clarifies Application of the Custody Rule

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March 22, 2017

Division of Investment Management Provides Information Update on Tax Claims in Foreign Jurisdictions

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March 14, 2017

Seward & Kissel’s 2016 New Hedge Fund Study

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February 28, 2017

Update to January 23, 2017 Memorandum Entitled “Responding to New Derivative Documentation Requests from Dealers”

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February 21, 2017

OCIE Issues List of Most Frequently Identified Exam Topics

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February 15, 2017

Ten Advisers Settle Charges of Pay to Play Violations

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February 10, 2017

Compliance Flash – February 2017

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February 7, 2017

TIC Form SHC Filing Deadline Approaching

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January 27, 2017

New HSR Filing Thresholds (2017)

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January 23, 2017

Responding to New Derivative Documentation Requests from Dealers

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January 20, 2017

Annual Regulatory Reminders (2017)

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January 18, 2017

OCIE Multi-Branch Adviser Initiative Risk Alert

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