Investment Advisers
Overview
Seward & Kissel has extensive experience representing and advising investment advisers on the legal and regulatory matters that impact their businesses.
As home to one of the largest and most prominent investment management practices in the United States, the firm works with investment advisers across the full spectrum of the industry.
Our clients include large, registered investment advisers with billions of dollars under management, as well as smaller, exempt reporting advisers launching their businesses. We also advise investment advisers in connection with their affiliated investment fund products.
Our lawyers advise investment advisers on a broad range of legal and regulatory matters, including formation and registration under federal and state securities laws. We provide ongoing counsel on advertising and marketing disclosures, advisory contracts, disclosure documents, and control issues, as well as employment and general business matters.
We regularly assist clients with compliance matters, including the development of compliance policies and procedures, codes of ethics, and the performance of compliance audits. Our team advises on trading and reporting requirements, including insider trading obligations, and on wrap-fee and other managed account programs. We also represent investment advisers in enforcement matters, exemptive relief requests, and other matters involving the Securities and Exchange Commission, as well as ERISA-related issues.
Capabilities
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