Seward & Kissel Launches Innovative Regulatory Compliance Service for Asset Managers

July 18, 2017

Seward & Kissel LLP has officially unveiled Seward & Kissel Regulatory Compliance, an innovative suite of services that provides comprehensive and cost-efficient assistance to asset managers in the onerous task of complying with regulatory obligations.

Seward & Kissel Regulatory Compliance, or SKRC, offers full-scale regulatory compliance consulting solutions provided by the Firm’s attorneys on a flexible basis. SKRC’s services include registration, preparation of policies and procedures, and continued day-to-day advice and assistance with compliance.

In addition, SKRC conducts mock audits designed to prepare clients for regulatory examinations. In its mock audits, Seward & Kissel attorneys perform analysis of policies, procedures, and practices to identify potential deficiencies and in-person interviews of key company personnel.

“With SKRC, we’ve introduced an important new avenue through which investment managers can approach the often burdensome task of regulatory compliance,” said Patricia A. Poglinco and Robert B. Van Grover, co-heads of Seward & Kissel’s Investment Management Group. “We are pleased to offer to clients our unique perspective, which combines extensive legal experience with practical in-house compliance experience.”

SKRC also offers to its clients an online subscription service that gives investment advisers access to the critical documents-formatted in user-friendly fashion and enhanced with helpful tips-required to complete registration forms and meet ongoing compliance requirements.

“Through the integrated offerings of SKRC, Seward & Kissel becomes a one-stop shop for investment managers in dealing with compliance issues,” said David Tang, counsel in Seward & Kissel’s Investment Management Group, and a former Chief Compliance Officer, who is heavily involved in SKRC. “Given our history in the investment management field, we believe we are in an excellent position to assist funds and asset managers with this groundbreaking approach to regulatory compliance.”

Seward & Kissel introduced SKRC as clients in the financial services industry are increasingly looking for cost-effective solutions to their regulatory obligations. The Firm has advised financial services industry clients for more than 75 years, and is widely acknowledged as a leader in the field.

More information on SKRC is available at