June 21, 2022

SEC Charges Schwab for Misleading Investors about Robo-Adviser’s Fees

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June 15, 2022

How to Convert a Private Fund Manager Into a Family Office interview & checklists

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June 13, 2022

SEC Proposes Amendments to Fund “Names Rule” and Proposes Amendments Concerning Fund ESG Investment Practices

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June 7, 2022

SEC Proposes Rules Requiring Enhanced ESG Disclosure for Investment Advisers and Registered Funds

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May 31, 2022

SEC Settles with Institutional Investment Adviser for ESG Misstatements and Omissions

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May 19, 2022

SEC Proposes New Rules to Expand the Definition of Dealer and Government Securities Dealer

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May 19, 2022

2021 Seed Transactions Deal Points Study

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May 16, 2022

SEC Division of Examinations Issues Risk Alert on Investment Adviser MNPI Compliance Issues

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May 9, 2022

Seward & Kissel’s 2022 Alternative Investment Allocator Survey

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April 14, 2022

Seward & Kissel’s 2021 New Hedge Fund Study

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April 11, 2022

SEC Division of Examinations Announced 2022 Examination Priorities

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April 5, 2022

SEC Proposes Comprehensive Climate Change Disclosure Regulations

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March 30, 2022

SEC Proposes Rule Amendments to Enhance and Standardize Climate-Related Disclosures

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March 28, 2022

DOL Amends Six Class Exemptions to Eliminate References to Credit Ratings

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March 14, 2022

Converting a Private Investment Fund Business into a Family Office: Issues to Consider

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