June 21, 2021
Counsel David Tang is quoted in a Thomson Reuters Regulatory Intelligence article titled, “INSIGHT: Chief compliance officer liability back in spotlight with NYC bar recommendations”
April 19, 2021
Counsel Valentino Vasi is quoted and the Firm mentioned in a MarketWatch article titled, “Robinhood’s suit against Massachusetts may escalate a battle that could get the online broker tossed from the state”
April 19, 2021
Counsel David Tang is quoted and the Firm mentioned in the latest edition of the Regulatory Compliance Watch Weekly Briefing
January 11, 2021
Counsel David Tang is quoted and the Firm mentioned in a Regulatory Compliance Watch article titled, “PF advisors and ad rule: The gift of whatnot.”
December 23, 2020
Counsel Val Vasi is quoted in a Regulatory Compliance Watch article, titled “Robinhood Misleads on Payment for Order Flow.”
December 23, 2020
Counsel David Tang is quoted in a FundFire article titled, “Hedge Funds Face Heightened Scrutiny on SEC Exams in 2021.”
December 11, 2020
Partner Rob Van Grover is quoted and the Firm mentioned in a Regulatory Compliance Watch article titled, “Foot fault’ in accredited investors definition.”
December 7, 2020
Counsel David Tang is quoted and the Firm mentioned in a Regulatory Compliance Watch article titled, “We’re all branch offices now: Telecommuting in the time of COVID.”
November 17, 2020
Counsel David Tang is quoted and the Firm mentioned in a Compliance Week article titled, “Analysis: With Clayton leaving, SEC likely to target financial institutions.”
September 17, 2020
Seward & Kissel named the “Best Advisory Firm – Regulation and Compliance” in the HFM Global US Services Awards 2020.
September 14, 2020
Counsel David Tang is quoted and the Firm mentioned in an InvestmentNews article titled, “Enforcement, arbitration proceedings move online.”
August 21, 2020
Counsel David Tang is quoted and the Firm mentioned in a Regulatory Compliance Watch article titled, “COVID alert tips: talk and document.”
June 29, 2020
Counsel David Tang is quoted and the Firm mentioned in a Reuters article titled, “Form CRS Client Relationship Summaries Might Have “May” Problem as Filings Pour In.”
May 28, 2020
Counsel Philip Moustakis is quoted and the Firm mentioned in a Reuters Regulatory Intelligence article titled, “SEC fines PE firm Ares $1 million over lack of inside-information controls when taking portfolio-firm board seat.”
May 28, 2020
Counsel Philip Moustakis is quoted and the Firm mentioned in an Opalesque article titled, “Ares charged with compliance failures.”