Seward & Kissel is reminding its clients about the recent January 2, 2025 compliance date for new Rule 13f-2 (the “New Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”), as well as related reporting on...more
1/20/2025
/ Capital Markets ,
Disclosure Requirements ,
Financial Services Industry ,
Form 13F ,
Institutional Investors ,
Investment ,
Investors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Securities Regulation
Last week, the Internal Revenue Service (“IRS”) proposed regulations (the “Proposed Regulations”) to treat certain basket contracts as listed transactions. Basket contracts were previously identified as transactions of...more
This Memorandum is intended to remind you of certain U.S. annual requirements that may be applicable to your business and is divided into five sections. All investment advisers (whether or not registered with the Securities...more
1/5/2023
/ Audits ,
Blue Sky Laws ,
Commodity Trading Advisors (CTAs) ,
Disclosure Requirements ,
Eligibility ,
Employee Retirement Income Security Act (ERISA) ,
Environmental Social & Governance (ESG) ,
Filing Deadlines ,
Financial Industry Regulatory Authority (FINRA) ,
IARD ,
Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Management ,
Personal Information ,
Policies and Procedures ,
Private Offerings ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934
In June 2019, the Institutional Limited Partners Association (“ILPA”) released the third edition of its private equity industry best practices principles fostering transparency, governance and alignment of interests for...more
9/8/2022
/ Best Practices ,
Coronavirus/COVID-19 ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Governance Standards ,
Institutional Limited Partners Association (ILPA) ,
Investment ,
Investors ,
LPAC ,
Private Equity ,
Private Equity Funds ,
Special Purpose Vehicles ,
Transparency