February 13, 2025 Joseph Morrissey and Theo Kaminski Publish Article in Global Banking & Finance Review Titled, “Building a Scalable Closed End Fund Business” February 12, 2024 Tax partner Brett Cotler authors article for Private Equity Law Report titled, “Tax Court Ruling Is a Setback for Fund Managers Structured As Limited Partnerships” January 2, 2024 FinCEN’s New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related Entities November 8, 2023 SEC Adopts Gross Short Position and Activity Reporting by Institutional Investment Managers October 18, 2023 SEC Adopts Amendments to Regulation 13D-G October 3, 2023 SEC Proposes Improvements to EDGAR Filer Access and Account Management October 3, 2023 SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers September 18, 2023 Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers September 11, 2023 SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations August 25, 2023 The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers August 16, 2023 SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million January 27, 2023 Seward & Kissel attorneys co-authored a chapter for the ICLG – ESG Law 2023 titled “U.S. Legal and Compliance Issues Relating to ESG for Private Fund Advisers” January 4, 2023 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 June 15, 2022 How to Convert a Private Fund Manager Into a Family Office interview & checklists Load more
