Paul M. Miller is a partner in Seward & Kissel’s Investment Management Group and is located in Seward & Kissel’s Washington D.C. office. Paul joined Seward & Kissel in 1998 and became a partner in 2008.
Paul’s practice focuses primarily on registered investment companies, registered investment advisers and broker-dealers. He has worked extensively on the full range of matters affecting mutual funds, including their formation, their registration with the Securities and Exchange Commission under the Investment Company Act of 1940, their service provider arrangements with investment advisers, distributors, transfer agents and custodians and their ongoing regulatory reporting and compliance obligations. He has also worked extensively on the full range of matters affecting registered investment advisers, including their formation, their registration with the Securities and Exchange Commission under the Investment Advisers Act of 1940, their participation in managed account and wrap programs and their ongoing regulatory reporting and compliance obligations. He has advised registered investment companies and registered investment advisers on matters relating to their periodic examination by the staff of the Securities and Exchange Commission. He has advised broker-dealers on their ongoing regulatory and compliance obligations and on brokering deposit products and deposit account sweep products.
Paul has authored or co-authored several articles, including, "Soft Dollars Revisited," Investment Adviser Association Newsletter, June 2013; “The JOBS Act: Implications for Private Fund Advertising and for Compliance Programs of Registered Advisers to Private Funds,” Investment Adviser Association Newsletter, May 2012; “Large Traders: A Review of Rule 13h-1 and Form 13H,” Investment Adviser Association Newsletter, December 2011; “Insider Trading and Corresponding Compliance Policies and Procedures of Investment Advisers,” Investment Adviser Association Newsletter, March 2010; “Key Aspects of the New Prospectus Disclosure Requirements for Mutual Funds and the New Summary Prospectus Delivery Option,” Fund Directions, December 2009; "Compliance Monitoring and Testing," Investment Adviser Association Newsletter, February 2008; “Complying with State Gaming Regulations,” Investment Adviser Association Newsletter, March 2006; “The New Mutual Fund Redemption Fee Rule,” The Journal of Investment Compliance, Summer 2005; “Disclosure of Market Timing, Fair Value Pricing, and Selective Disclosure Policies,” The Investment Lawyer, August 2004; and “Compliance Programs of Registered Investment Advisers and Investment Companies,” The Review of Securities and Commodities Regulation, February 2004.
Paul is a member of the Federal Bar Association and the Virginia Bar Association.