January 4, 2022
Memo to Clients 2023 – Annual Reminders
July 26, 2022
Paul Miller and Casey Jennings co-author IAA article on Privacy and Cybersecurity for Investment Advisers
February 4, 2022
Memo to Clients 2022 – Annual Reminders
January 6, 2022
ICLG – ESG Law 2022: “U.S. Legal and Compliance Issues Relating to ESG for Private Fund Advisers”
August 5, 2021
Seward & Kissel Authored an Article for the IAA Titled, “Use of Alternative Data by Investment Advisers”
January 21, 2021
ESG Spotlight Series: Sustainable Finance Disclosures Regulation (SFDR): Applicability for U.S. Managers
August 24, 2020
SEC OCIE Issues Risk Alert on COVID-19 Compliance Risks and Considerations for Broker-Dealers and Investment Advisers
October 29, 2019
SEC Releases FAQ on Investment Adviser Conflicts of Interest Disclosure for Certain Compensation Arrangements
September 10, 2019
SEC Issues Interpretation Regarding Standard of Conduct for Investment Advisers
August 29, 2019
SEC Provides Guidance on Proxy Voting By Registered Investment Advisers
January 22, 2019
Seward & Kissel 2018 Investment Management Highlights
May 2018
Partners Paul Miller and Anthony Tu-Sekine co-authored an article for the Investment Adviser Association’s Compliance Corner titled, “What’s in a Name? ETF or Not – Does it Matter?”
February 27, 2018
Seward & Kissel 2017 Investment Management Highlights
February 9, 2018
Annual Regulatory Reminders (2018)
February 9 2018
OCIE Releases Its 2018 Examination Priorities