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Registered Funds and Mutual Funds

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March 14, 2023
Paul Miller spoke at the IAA 2023 Investment Adviser Compliance Conference
March 9, 2023
Market Moments with David Poppe, Giverny Capital Asset Management
March 9, 2023
SEC Spotlight: Off-Channel Communications and Recordkeeping
March 9, 2023
Paul Miller and Bob Kurucza spoke on the Regulatory Impacts on Fund Board’s session at the MFDF Annual FGRI Conference
March 8, 2023
Market Moments: SEC’s Amendments to the Mutual Funds Shareholder Report
June 30, 2022
Enhanced Disclosure of ESG Practices for Registered Investment Companies and Expansion of the Names Rule
March 10, 2022
ETF Conversions Webinar Series
April 15, 2021
Investment Management partners to discuss digital assets from an adviser perspective at the Investment Adviser Association Smaller Advisers Compliance Forum
March 30, 2021
Counsel Lance King will be speaking on a Mutual Fund Directors Forum webinar on May 24
March 24, 2021
Seward & Kissel Market Moments with David Poppe
March 4, 2021
New Rule 2a-5: Good Faith Determinations of Fair Value
March 2, 2021
ESG for Asset Managers: Current State of Affairs & Predictions Under the Current (Biden) Administration
February 26, 2021
GDPR and US Investment Adviser Marketing Changes
January 21, 2021
ESG Spotlight Series: Sustainable Finance Disclosures Regulation (SFDR): Applicability for U.S. Managers
January 21, 2021
Seward & Kissel Market Moments: Partner Paul Miller discusses the new auditor independence amendments with BBD’s Jim Kaiser

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