Annual Regulatory Reminders (2016)

January 22, 2016

Seward & Kissel’s 2016 Annual Regulatory Reminders Memorandum

In addition, an online resource for investment advisers is available to subscribers and provides access to Seward & Kissel’s Model Compliance Manual, Code of Ethics and guides to Form ADV Part 1 and 2.  This service is available at


If you have any questions regarding the matters covered in this memo, please contact any of the partners and counsel listed below or your primary attorney in Seward & Kissel’s Investment Management Group.