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Tel: 212-574-1415
Fax: 212-901-2110
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Robert L. Chender

Counsel

Publications

DateTitle
May 13, 2013
Memorandum: AIFMD for US Hedge Fund Managers - "Marketing" to UK Investors
May 3, 2013
Memorandum: FATCA Update: Final Regulations and Cayman IGA Negotiations
Please click the title above for an important client memorandum addressing recent developments in the application of the Foreign Account Tax Compliance Act (FATCA) to private investment funds. Specifically, this memorandum discusses the recently finalized Treasury Regulations interpreting FATCA, the impact of a potential Intergovernmental Agreement between the United States and the Cayman Islands on private investment funds, and steps you should be taking now to ensure that your organization complies with FATCA when it becomes effective on January 1, 2014.
May 2, 2013
SEC and CFTC Adopt Identity Theft Red Flags Rules
April 2013
Private Funds Bullet Report - April 2013
April 12, 2013
Notice to EDGAR Form 13F Filers
April 10, 2013
Important Reminder Regarding April 30, 2013 Form PF Filing Deadline for Annual Filers
April 5, 2013
Memorandum: April 10 Deadline for Swap Counterparties
2012 Edition
Seward & Kissel 2012 New Hedge Fund Study
Fall 2012
The Private Funds Report - Index to Covered Topics
March 15, 2013
Additional Documentation May Be Required for Funds Entering Into Cleared Derivatives
March 14, 2013
Memorandum: Department of Labor's Recent Pronouncements Regarding Collateral, ERISA Status of Clearing Entities and Availability of the QPAM Exemption in Connection with Cleared Swap Transactions
March 7, 2013
What Every U.S. Manager Should Know About "AIFMD"
February 2013
Memorandum: Top Ten Things Every US Hedge Fund Manager should know about AIFMD
February 27, 2013
FINRA 2013 Examination Priorities
February 26, 2013
Memorandum: Important Reminder Regarding March 1 CPO/CTA Exemption Affirmation Deadline
January 30, 2013
Memorandum: Annual Regulatory Reminders
Fall 2012
The Private Funds Report, Vol. XIII
December 19, 2012
Memorandum: December 31, 2012 CFTC Deadline
December 18, 2012
Memorandum: SEC Institutes Administrative Proceedings Against Eight Registered Fund Directors for Failure to Properly Oversee Asset Valuations
December 4, 2012
Memorandum: CFTC Grants Relief for Family Offices
November 2012
Private Funds Bullet Report - November 2012
November 30, 2012
Memorandum: CFTC Grants Extension for Fund of Funds Operators
November 26, 2012
FINRA Rule 5123 - Notice Filing Obligations for Private Placements
November 19, 2012
Memorandum: Treasury Exempts FX Forwards and FX Swaps From Swap Definition
November 14, 2012
Implications of the SEC's Proposed Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 Offerings
October 22, 2012
Memorandum: EU Short Selling Regulation
October 10, 2012
Memorandum: NFA Adopts Series 3 Exemption and Waiver for Certain Associated Persons who Engage in Swap Activities and Adopts Swaps Designation for Members
August 17, 2012
Memorandum: CFTC Publishes Frequently Asked Questions on Rule Amendments to Compliance Obligations for CPOs and CTAs
August 14, 2012
Memorandum: Proposed FATCA Regulations Require Offshore Funds to Document the Identity of Investors and Report Names of U.S. Taxable Investors to the Internal Revenue Service
July 18, 2012
Memorandum: CFTC Grants No-Action Relief for Managers of New Funds
July 12, 2012
Memorandum: CFTC and SEC Finalize Definitions of Swap, Security-Based Swap and other Key Terms
June 26, 2012
Memorandum: Form BE-11 Rule Release
June 13, 2012
Memorandum: FBAR Filing Due June 30
June 11, 2012
Memorandum: SEC Staff Responses to Questions About Form PF
June 7, 2012
Memorandum: United States Supreme Court Affirms a Secured Creditor's Right to Credit-Bid in the Sale of its Collateral Pursuant to a Chapter 11 Plan
June 2012
Private Funds Bullet Report - June 2012
May 31, 2012
Memorandum: 2011 Annual Survey of U.S. Direct Investment Abroad (Form BE-11)
May 8, 2012
Memorandum: CFTC and SEC Further Define Eligible Contract Participant, Swap Dealer, Major Swap Participant and other Key Terms
May 2, 2012
Memorandum: Reliance on the 4.13(a)(3) Exemption from Registration as a Commodity Pool Operator
April 20, 2012
Memorandum: Important Reminder Concerning CFTC's Rescission of 4.13(a)(4) Exemption
April 10, 2012
Memorandum: Form PF Beneficial Ownership Reporting
April 4, 2012
Memorandum: Form 13H Amendment Filing Obligations
March 30, 2012
Memorandum: "JOBS" Act Passed to Remove Prohibition of General Solicitation and Marketing in Regulation D Offerings and Increase 500 Record Owner Threshold
March 22, 2012
Memorandum: Additional Guidance on Registration Requirements for Entities Affiliated with Exempt Reporting Advisers
March 19, 2012
FinCEN Seeks Comment on Customer Due Diligence Rule That Would Impose Requirement on Brokers to Submit Customer Information to Banks in Connection with Brokered Deposits
March 1, 2012
Memorandum: Reporting Obligations for Exempt Reporting Advisers
February 24, 2012
Memorandum: SEC Adopts Revised Performance Compensation Rule and Transition Rules
February 21, 2012
Memorandum: 2011 New Hedge Fund Study
Annexed is a memorandum showing the results of a 2011 new hedge fund study recently conducted by Seward & Kissel.
February 15, 2012
Sixth Circuit Decision Raises Question About Effectiveness of Broker-Dealer Liens on Customer Assets
February 10, 2012
Client Alert: FATCA
February 9, 2012
Memorandum: CFTC Adopts Final Rules Regarding Exemptions from CPO and CTA Registration; Rescinds 4.13(a)(4) Exemption
February 6, 2012
Memorandum: SEC Compliance Outreach Program for Investment Advisers and Investment Companies
February 3, 2012
Memorandum: Recordkeeping and Reporting of Swap Information
February 3, 2012
Memorandum: TIC Form SHC Filing Deadline Approaching
January 27, 2012
Memorandum: Annual Regulatory Reminders
January 26, 2012
Memorandum: Reporting Obligations for Exempt Reporting Advisers
January 2012
Private Funds Bullet Report - January 2012
January 23, 2012
Memorandum: SEC Clarifies Scope of Registration Requirements for Entities Affiliated with an Investment Adviser Registering with the SEC
December 14, 2011
Memorandum: Client Update on MF Global # 4
December 14, 2011
Memorandum: SEC Adopts Form PF
December 8, 2011
Client Alert - Deferred Compensation
December 5, 2011
Memorandum: New York City Audit Position Could Increase Unincorporated Business Tax
December 1, 2011
Memorandum: Client Update on American Airlines Trading
November 29, 2011
Memorandum: Client Update on MF Global # 3
November 18, 2011
Memorandum: Client Update on MF Global # 2
November 14, 2011
Memorandum: Client Update on MF Global*
October 26, 2011
Memorandum: SEC Announces Adoption of Form PF
September 21, 2011
Memorandum: New Jobs Bill Includes Carried Interest Tax Increase and Enterprise Value Tax
September 2011
The Private Equity Bullet Report - September 2011

 

We are pleased to introduce our latest newsletter, the Private Equity Bullet Report. This newsletter will highlight, in bullet point format, selected key developments in U.S. securities laws and regulations and other developments affecting both the formation of private equity funds and their underlying portfolio transactions.  If you know of anyone who may be interested in receiving this newsletter, please notify Royce Akiva ().

August 12, 2011
Memorandum: New SEC Whistleblower Rules Effective Today
August 9, 2011
Memorandum: SEC Adopts Large Trader Reporting Requirements
July 2011
Private Funds Bullet Report - July 2011
July 22, 2011
Memorandum: SEC Adopts Final Rule Defining Family Offices
July 15, 2011
Memorandum: SEC Adopts Rules Implementing Certain Exemptions from SEC Registration and Amends Form ADV Part 1A
July 15, 2011
Memorandum: SEC Changes Registered Investment Adviser Performance Compensation Rule
July 8, 2011
Memorandum: Department Of Treasury Approves New Form SLT
July 6, 2011
Memorandum: State Investment Adviser Implications of Repeal of Section 203(b)(3) Exemption
June 22, 2011
Memorandum: SEC Extends Investment Adviser Registration Deadline Until March 30, 2012
June 10, 2011
Memorandum: Notice of SEC Open Meeting on June 22, 2011
May 19, 2011
Memorandum: SEC Approves Extension of the Effective Date of the New Anti-Spinning Rule for New Issues
May 13, 2011
Memorandum: SEC to Change Registered Investment Adviser Performance Compensation Rule and Proposes Transition Rules
May 10, 2011
Private Equity Funds Report - Spring 2011
May 6, 2011
Memorandum: Recent Proposals Regarding Regulation of Swaps
May 2, 2011
Memorandum: SEC Proposes Incentive-Based Compensation Arrangement Rule
May 2, 2011
Memorandum: Department of Treasury Proposes New Form SLT
April 11, 2011
Memorandum: Private Fund Adviser Registration Deadline May Be Extended To First Quarter 2012
March 23, 2011
Memorandum: Recent Tax Court Decision Concerning Self-Employment Tax
March 22, 2011
Memorandum: SEC Staff Responses to Questions About Form ADV Part 2
February 14, 2011
Memorandum: New Rule Governing New Issue Allocations and Distributions
February 10, 2011
Memorandum: The SEC Model Privacy Form
February 9, 2011
Memorandum: Proposed Amendments to CFTC Regulations
February 9, 2011
Memorandum: SEC Proposes Private Fund Systemic Risk Reporting Rule
February 8, 2011
Memorandum: California and New York City Lobbyist Registration
February 3, 2011
Memorandum: Form ADV Filing and Delivery Requirements
January 24, 2011
Memorandum: Regulated Investment Company Modernization Act of 2010 (the "Act")
January 13, 2011
Paying That Debt Off Early May be Costly
Treatment of Debt Prepayment Limitations in Solvent Debtor Chapter 11 Cases
John Ashmead, Ronald Cohen
January 7, 2010
Activist Investor Report - January 2011
January 6, 2011
Memorandum: New California Restrictions on Placement Agents
January 5, 2011
Memorandum: SEC Extends Brochure Supplement Compliance Date
December 2010
The Private Funds Report- Special 10th Anniversary Edition
An Introductory Guide to Private Funds and Their Management Companies.
December 2010
The Private Funds Bullet Report - December 2010
November 30, 2010
Memorandum: SEC Proposes Rules Implementing Certain Exemptions from SEC Registration and Amendments to Form ADV Part 1A

 

November 29, 2010
Associate Gregg Bateman authored an article entitled “Nothing Strange About STOLI” which was featured on November 29, 2010 in Law360.
The article discussed the impact of the recent New York Court of Appeals case of Kramer v. Lockwood Pension Services Inc. on future STOLI cases.
Gregg Bateman
November 10, 2010
Client Alert: Seventh Circuit Rules That A Securitization Trustee May Be Held Liable in a Fraudulent Conveyance Action.
October 22, 2010
SEC Proposes Rule Defining Family Offices
October 14, 2010
Memorandum: CFTC Adopts Interim Final Rule for Reporting Pre-enactment Swap Transactions
October 6, 2010
Memorandum: SEC Proposes Mutual Fund Distribution Fee Reform
August 19, 2010
Memorandum: Dodd-Frank Wall Street Reform and Consumer Protection Act
August 9, 2010
Client Alert: Lessons from the LyondellBasell Rights Offering
August 5, 2010
Memorandum: SEC Amends Part 2 of Form ADV
July 26, 2010
Client Alert: Rule 436(g) Repeal and Response of the Securities and Exchange Commission
July 26, 2010
Client Alert: SEC Staff Report Recommends Amending Definition of "Security" to Include Life Settlements
July 15, 2010
Memorandum: Adjustment of Accredited Investor Standard for Natural Persons
July 8, 2010
Private Fund Investment Advisers Registration Act of 2010
July 7, 2010
SEC Adopts Rule Restricting "Pay to Play" Practices of Investment Advisers
June 29, 2010
Memorandum: Judge Dismisses SEC's First Credit Default Swap Insider Trading Case
June 7, 2010
The Private Funds Bullet Report - June 2010
June 4, 2010
Memo: Foreign Financial Account Reports Due June 30th
June 2, 2010
Memorandum: House of Representatives Passes Legislation to Increase Taxes on Carried Interest
June 1, 2010
Seward & Kissel Memorandum Regarding the Expected Effects of Financial Industry Reform on Derivatives Activities of Funds
June 1, 2010
Activist Investor Report
U.S. Senate Approves Wall Street Reform Bill
May 21, 2010
Client Alert on New SEC Rules
May 21, 2010
Memorandum Regarding the Senate Approval of the Restoring American Financial Stability Act of 2010
May 7, 2010
Activist Investor Report
March 31, 2010
Memo Regarding March 30th Supreme Court Decision on Gartenberg v. Merrill Lynch Asset Management, Inc.
March 19, 2010
Memo Regarding the Jobs Bill's Impact on Hedge Funds and Private Equity Funds.
March 9, 2010
March 9, 2010 Client Alert Regarding SEC Reforms to Money Market Fund Regulation
March 2, 2010
Memorandum on FBAR Guidance
February 26, 2010
Memorandum regarding SEC Adoption of Alternative Uptick Rule
February 2, 2010
Seward & Kissel LLP Annual Reminders for Clients
January 11, 2010
Memorandum Regarding New Custody Rule Requirements for Registered Investment Advisers
Robert Chender, Paul Clark, Kathleen Clarke, John Cleary, Maureen Hurley, Paul Miller, Steven Nadel, Anthony Nuland, Patricia Poglinco, Christopher Riccardi, Jack Rigney, Bibb Strench, John Tavss, Anthony Tu-Sekine, Robert Van Grover
January 5, 2010
Client Alert Regarding SEC v. Rorech-First Credit Default Swap Insider Trading Case
December 17, 2009
Memorandum Regarding Wall Street Reform and Consumer Protection Act of 2009.
December 9, 2009
Seward & Kissel LLP Memorandum Regarding Proposed Legislation That Would Impact General Partners of Private Investment Funds.
December 3, 2009
Memorandum Regarding the 2010 IARD Renewal Program
November 20, 2009
Memorandum regarding cross-collaterizations involving IRAs.
November 6, 2009
Memorandum Regarding the Foreign Account Tax Compliance Act of 2009
November 1, 2009
November 2009 Private Funds Bullet Report
October 9, 2009
Recent Changes to New York Power of Attorney Law
September 25, 2009
Seward & Kissel LLP Memorandum regarding the Internal Revenue Service Guidance on the U.S. Federal Income Taxation of Loan Origination Activities of Foreign Persons.
September 8, 2009
Is it Too Late to Register Your Trademark?
August 31, 2009
The Private Funds Report, Vol. XII
August 14, 2009
The Corporate and Financial Institution Compensation Fairness Act of 2009
August 13, 2009
Client Alert: Further Regulation for Credit Rating Agencies in the Pipeline
August 12, 2009
IRS Notice on FBAR Confirms Past Filings Are Required, Extends Due Date to June 30, 2010
August 6, 2009
Memorandum on Proposed SEC Rule Restricting "Pay to Play" Practices of Investment Advisers
July 30, 2009
U.S. Securities and Exchange Commission Issues Final Rule to Curb Naked Short Selling As Temporary Rule Expires
July 29, 2009
SEC Proposes Reforms to Money Market Fund Regulations Introduction
July 28, 2009
Memorandum regarding the Expiration Of Rule Requiring Institutional Investment Managers To Disclose Short Sales
July 20, 2009
Seward & Kissel LLP memorandum regarding ISDA restructuring supplement and "Small Bang" protocol.
June 11, 2009
Update Regarding Foreign Financial Account Reports Due June 30
June 3, 2009
Foreign Financial Account Reports Due June 30
May 28, 2009
Corporate Trust Alert Regarding Indenture Reporting Covenants
May 27, 2009
May 2009 Private Funds Bullet Report
May 27, 2009
Seward & Kissel LLP Memorandum Regarding New Custody Rule Requirements for Registered Investment Advisers Proposed by the SEC.
May 4, 2009
Seward & Kissel LLP Memorandum Regarding the FASB's Advice on Mark-to-Market Accounting Standards and Promise for Harmonization with the IASB
May 1, 2009
SEC Staff Issues No-Action Letter Addressing Treatment of Redemption Fees by Mutual Funds in Calculating SEC Registration Fees Under Form 24F-2
May 1, 2009
SEC Staff Issues No-Action Letter Addressing Treatment of Redemption Fees by Mutual Funds in Calculating SEC Registration Fees Under Form 24F-2
April 28, 2009
Seward & Kissel LLP Memorandum Regarding the SEC's Sanction of the Hennessee Group LLC and Charles Gradante for Misrepresenting Due Diligence Procedures in Recommending Investment
April 20, 2009
Seward & Kissel LLP Memorandum Regarding the SEC's Proposal to Reconstitute the "Uptick Rule" and Other Restrictions on Short Selling
March 11, 2009
Seward & Kissel LLP Client Alert Regarding the Debate on Main Street Versus Wall Street
March 9, 2009
Seward & Kissel LLP Memorandum Regarding Tax Proposals which Target Investors, Hedge Funds and Managers
February 26, 2009
Seward & Kissel LLP Memorandum Regarding Annual Requirements for SEC Registered Investment Advisers
February 25, 2009
Seward & Kissel LLP Client Alert Regarding The Homeowner Affordability and Stability Plan: Potential Benefits and Costs
February 10, 2009
Seward & Kissel LLP Private Funds Bullet Report Regarding Business Planning, Structural, Legal, Regulatory & Compliance Developments
February 5, 2009
Seward & Kissel Client Alert Regarding Victoria Finance's SIV Restructuring Mainly Through Vertical Slices
February 4, 2009
Seward & Kissel LLP Memorandum Regarding the Hedge Fund Transparency Act and Hedge Fund Adviser Registration Act of 2009
January 26, 2009
Corporate Trust Alert Regarding Renewed Efforts to Extend Assignee Liability to Mortgage Purchasers
November 21, 2008
November 2008 Private Funds Bullet Report
November 7, 2008
Investment Management Litigation Year in Review
November 3, 2008
Seward & Kissel LLP Client Alert regarding the passage of the Emergency Economic Stabilization Act of 2008 (the "Act").
October 17, 2008
Seward & Kissel memorandum discussing the SEC's new rule extending short sale reporting requirements.
October 17, 2008
Seward & Kissel memorandum regarding the SEC's issuance of rules to curb naked short selling.
October 15, 2008
Capital Markets Bulletin re: recent amendments to SEC Rule 12g3-2(b).
October 7, 2008
Client Alert regarding the concerns raised by the litigation involving Abu Dhabi Commercial Bank and Morgan Stanley & Co.
October 7, 2008
Client alert regarding the completion of the SEC's financial short sales ban.
October 3, 2008
Client memorandum regarding consolidation in the financial industry and the QPAM Exemption's 10% Limitation.
October 3, 2008
Client memorandum regarding legislation on the elimination of future fee deferrals by investment managers.
October 2, 2008
SEC Emergency Order On Short Selling
September 26, 2008
Seward & Kissel Notice Re: Protocol with respect to open trades with Lehman Brothers Inc. ("LBI").
September 26, 2008
Seward & Kissel Memorandum Re: SEC's Clarification of the Naked Short Selling Rule.
September 24, 2008
Client Alert Re: Lehman Brothers Update and Cure Claim Deadline Information.
September 22, 2008
Memorandum Re: Information pertaining to the filing of Form SH.
September 19, 2008
Memorandum regarding the SEC's emergency order requiring the disclosure of short sales of certain publicly traded securities.
September 19, 2008
SEC Issues Emergency Order Prohibiting Short Sales of Financial Companies' Securities.
September 17, 2008
September 2008 Private Funds and Capital Markets Bulletin
September 2008 edition of the Private Funds and Capital Markets Bulletin including an article on the SEC's new rule to curb naked short selling.
September 16, 2008
Deadline for Documentary Compliance with Section 409A Regulations is December 31.
September 15, 2008
Bankruptcy Alert regarding prime broker liquidation proceeding under SIPA.
September 12, 2008
Memorandum Re: New SEC Rules to Revise Form D and Regulation D and to Require Electronic Filing of Form D.
July 21, 2008
SEC Issues Interpretive Letter Regarding Cash Payments for Client Solicitations
July 21, 2008
SEC Amends Emergency Order
July 16, 2008
SEC Issues Emergency Order Affecting Short Sales of Fannie Mae, Freddie Mac, and Specified Bank Securities.
May 15, 2008
Memorandum discussing the new sets of best practices for the hedge fund industry and hedge fund investors issued under the auspices of the President's Working Group on Financial Markets.
May 1, 2008
SEC Re-Proposes Amendments to Part 2 of Form ADV.
April 1, 2008
Private Funds Bullet Report
February 20, 2008
Annual Reminder Memorandum to Registered Investment Advisers.
John Cleary, Maureen Hurley, Paul Miller, Steven Nadel, Anthony Nuland, Patricia Poglinco, Jack Rigney, John Tavss, Robert Van Grover, Robert Chender, Kathleen Clarke
February 19, 2008
Summary of SEC's Proposed Amendments to Part II of Form ADV.
John Cleary, Maureen Hurley, Paul Miller, Steven Nadel, Anthony Nuland, Patricia Poglinco, Jack Rigney, John Tavss, Robert Van Grover, Robert Chender, Kathleen Clarke
February 19, 2008
Client Alert with Respect to Revised Rule 144 and a Chart Summarizing the New Rule.
John Cleary, Maureen Hurley, Robert Lustrin, Paul Miller, Steven Nadel, Anthony Nuland, Patricia Poglinco, Jack Rigney, John Tavss, Robert Van Grover, Gary Wolfe, James Abbott, Craig Sklar, Robert Chender, Kathleen Clarke

Education

  • J.D., New York University School of Law, 1980
  • B.A., Vassar College, 1975

Bar Admissions

  • New York