November 18, 2019

SEC Staff Extends Temporary No-Action Relief to Broker-Dealers Regarding MiFID II Research Requirements

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November 14, 2019

Co-Director of the SEC’s Enforcement Division Discusses Current Areas of Focus Involving Registered Investment Adviser Conflicts of Interest

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November 11, 2019

2020 IARD Renewal Program

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November 6, 2019

OFAC Update: New Venezuela General Licenses

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October 29, 2019

SEC Releases FAQ on Investment Adviser Conflicts of Interest Disclosure for Certain Compensation Arrangements

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October 24, 2019

Turkey Sanctions Removed — For Now

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October 21, 2019

New U.S. Sanctions Against Turkey

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October 17, 2019

Seward & Kissel Releases 2018/2019 Hedge Fund Side Letter Study

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October 15, 2019

How Hedge Fund Managers Can Access Illiquid Investments

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October 8, 2019

SKRC Compliance Weekly – October 8, 2019

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October 2, 2019

Third Point Funds Fined for Violating the Hart-Scott-Rodino Act

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October 1, 2019

SKRC Compliance Weekly – October 1, 2019

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September 24, 2019

SKRC Compliance Weekly – September 24, 2019

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September 19, 2019

SEC’s New Rule 15l-1 – Regulation Best Interest – Standard of Conduct Requiring Broker-Dealers to Act in the “Best Interest” of Retail Customers

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September 19, 2019

The SEC’s Guidance on the Solely Incidental Exclusion from the Definition of Investment Adviser: What it Means for Brokers and Dealers

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