Submitted: 05 September 2017
Seward & Kissel’s Memorandum looks at the Securities and Exchange Commission’s (SEC) recent amendments to Form ADV and the Investment Advisers Act 1940 (the Advisers Act) which come into force on 01 October 2017.
Submitted: 03 April 2017
Seward & Kissel have published the results of their most recent study examining key trends and strategies currently affecting the hedge fund marketplace.
Submitted: 09 March 2017
Seward & Kissel’s memorandum examines the decision of the Department of Labor (DOL) to extend the date of the Fiduciary Rule under ERISA by 60 days.
Seward & Kissel’s memorandum examines the key aspects of Unitranche Loan Structures.
Submitted: 10 January 2017
Managers claiming exemption or exclusion from Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA) registration under certain CFTC Regulations must affirm their notice of exemption or exclusion by 01 March 2017.
Submitted: 18 October 2016
Seward and Kissel provide an overview of recent SEC rules intended to enhance the reporting and disclosure of information by investment advisers and improve the quality of information that advisers provide.
Submitted: 22 August 2016
Seward & Kissel provide an overview of Subscription Agreements and other documents which must be updated to reflect the increased net worth threshold for "qualified clients".
Submitted: 18 July 2016
Seward & Kissel’s memorandum examines the Securities and Exchange Commission’s (SEC) proposed written business continuity and transition plan requirement for registered investment advisers.
Submitted: 05 July 2016
Seward & Kissel’s memorandum examines the Securities and Exchange Commission’s (SEC) Order approving an increase in the net worth threshold for "qualified clients".
Submitted: 15 June 2016
Seward & Kissel’s provide an overview of the Department of Labor’s (DOL)new fiduciary rules and the effects on investment managers.
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