Seward & Kissel, home to one of the largest, most prominent Investment Management practices in the U.S., has extensive experience representing and advising investment advisers regarding the legal and regulatory matters impacting their businesses. Our clients include the full spectrum of investment advisory firms including large registered investment advisers with billions of dollars of assets under management to small exempt reporting advisers launching their businesses, as well as their affiliated investment fund products.

Our lawyers have experience advising our clients on a full range of legal services, including formation and registration under federal and state securities laws. We counsel clients with regard to:

  • Advertising and marketing disclosure
  • Advisory contracts
  • Compliance with state and federal securities laws, including the development of compliance policies and procedures and codes of ethics, as well as the performance of compliance audits
  • Control issues
  • Disclosure documents
  • Employment and general business matters

  • Enforcement
  • Exemptive relief requests
  • SEC related matters
  • Trading and reporting requirements (including insider trading obligations)
  • Wrap-fee and other managed account programs