March 16, 2023 Off-Channel Communications: Action Items for Advisers February 22, 2023 SEC Division of Examinations Announces 2023 Priorities January 26, 2023 New HSR Filing Thresholds and Fee Schedule January 13, 2023 Seward & Kissel’s Investment Management 2022 Year in Review January 12, 2023 SEC Updates FAQ Regarding Marketing Rule Compliance – Displays of Gross and Net Performance January 4, 2022 Memo to Clients 2023 – Annual Reminders December 12, 2022 Merger of TIC Form S into Revised TIC Form SLT November 30, 2022 SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers October 25, 2022 Seward & Kissel Releases 2021/2022 Hedge Fund Side Letter Study October 19, 2022 New York City Implements Pass-Through Entity Tax for 2022 October 12, 2022 Introducing the SPV Snapshot Report October 4, 2022 New Marketing Rule: One Month Away from the Compliance Date October 4, 2022 Wealth Management Firm Charged with Reg S-P Violations for Failing to Properly Dispose of its Hard Drives October 3, 2022 SEC Charges Sixteen Firms for Recordkeeping Failures Related to Employee Use of Personal Devices September 21, 2022 SEC Examinations to Focus on the New Investment Adviser Marketing Rule Load more
