Regulatory & Compliance
Overview
Seward & Kissel’s Regulatory & Compliance practice advises investment advisers, private fund managers, commodity trading advisers, and broker-dealers as they navigate an increasingly complex regulatory environment.
Our team includes lawyers who served at the Securities and Exchange Commission in both the Enforcement and Examinations divisions, bringing practical insight into evolving regulatory expectations.
We provide integrated regulatory advice that supports both day-to-day operations and long-term business objectives. Our approach is hands-on and tailored to each client. Drawing on Seward & Kissel’s experience across legal, governmental, and regulatory matters, we help clients manage obligations, address emerging issues, and reduce regulatory risk.
We assist clients in preparing for and responding to Securities and Exchange Commission examinations, as well as advise on a broad range of compliance matters.
These include mock audits; personal trading; conflicts of interest; portfolio management processes; trading and best execution; trade allocation; restricted and watch lists; expense allocation; valuation policies; electronic communications; custody rule compliance; marketing materials; privacy and data safeguarding; books and records retention; risk assessments; business continuity planning; cybersecurity policies and procedures; regulatory filings; insider trading and material nonpublic information training; and security breach response.
Our lawyers counsel clients on the administration of compliance programs, including the development and maintenance of compliance manuals, annual compliance reviews, training, testing, and ongoing monitoring.
Capabilities
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