Regulatory & Compliance
Overview
Seward & Kissel’s Regulatory & Compliance Practice leverages the strength of the firm’s pre-eminent and longstanding asset management practice together with extensive SEC, CFTC, white-collar, investigations, and enforcement expertise.
This distinctive interdisciplinary approach provides investment advisers with sophisticated, commercially focused guidance on evolving regulatory requirements, enforcement priorities, and emerging risks. Informed by the firm’s deep involvement in the investment management industry and longstanding representation of leading asset managers, the group offers a differentiated perspective on market developments, industry trends, and regulatory expectations. By combining regulatory, investment management, and enforcement experience, Seward & Kissel helps clients anticipate change, mitigate risk, and navigate complex compliance challenges with practical, business-oriented solutions.
Our team has extensive experience advising clients in the following areas:
Regulatory Registration, Reporting & Trading Compliance
- SEC and CFTC registration matters, including registered investment adviser registration, available exemptions and ongoing regulatory obligations
- FINRA registration, including broker-dealer new and continuing membership applications
- Insider trading and market manipulation compliance, investigations and enforcement matters, including trading surveillance, regulatory inquiries and internal reviews
- Trading and market conduct matters, including Regulation SHO order marking, Regulation M, Rule 105 and Rule 14e-4 compliance
- Securities, derivatives, digital asset and event contract trading matters, including trading documentation
- Compliance with Sections 13 and 16 of the Securities Exchange Act of 1934 and Rule 144 reporting obligations
Compliance Programs & Regulatory Risk Management
- Design, implementation, enhancement and ongoing monitoring of compliance programs
- Preparation and updating of Form ADV disclosures and related amendments and filings
- Mock audits, annual reviews, risk assessments and targeted compliance testing
- Anti-money laundering, Foreign Corrupt Practices Act and economic sanctions compliance and risk management
- Regulatory risks associated with new products and emerging technologies, including digital and alternative assets, event contracts, artificial intelligence, alternative data, prediction markets and electronic communications
Regulatory Advice, Examinations & Enforcement
- Guidance on compliance with federal securities and commodities laws
- SEC, NFA and FINRA examinations, including exam preparation, document production, strategic regulatory advice and deficiency letter responses
- Investigations and enforcement matters brought by the DOJ, SEC, CFTC, FINRA, other self-regulatory organizations and state regulators
Capabilities
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