August 2, 2016

Subscription Agreements and Other Documents Must be Updated to Reflect Increased Net Worth Threshold for “Qualified Clients”

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July 18, 2016

Shareholder Activism Bullet Report – July 2016

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July 15, 2016

SEC Issues Updated Guidance on Business Continuity Planning for Registered Investment Companies

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July 15, 2016

SEC Proposes Written Business Continuity and Transition Plan Requirement for Registered Investment Advisers

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July 11, 2016

NFA Imposes $200 Daily Late Fee For Form PQR and PR Filings

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June 22, 2016

SEC Approves Increased Net Worth Threshold for “Qualified Clients”

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June 20, 2016

SEC Sanctions Investment Adviser for Failing to Establish and Maintain Policies and Procedures to Prevent the Misuse of Material Nonpublic Information

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June 8, 2016

SEC Announces Intent to Increase Net Worth Threshold for “Qualified Clients”

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June 3, 2016

FBAR Filing Due June 30, 2016

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May 27, 2016

The New Fiduciary Rule’s Effect on Investment Managers

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May 23, 2016

FinCEN Issues Final Customer Due Diligence Rules

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May 5, 2016

May 2016 Private Funds Bullet Report

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April 13, 2016

Shareholder Activism Bullet Report – April 2016

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April 6, 2016

Seward & Kissel LLP: 2015 Investment Management Facts

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March 7, 2016

Seward & Kissel Announces the Launch of the Client Management System

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