The 2023 Seward & Kissel Established Manager Hedge Fund Study (the “Study”) focuses on those Seward & Kissel investment manager clients that have been in business for at least 5 years and manage greater than $1 billion in...more
Memorandum to our Investment Management Clients and Friends -
The Quinquennial Report of Foreign-Resident Holdings of U.S. Securities (“TIC Form SHL”) is a benchmark report used by the U.S. Department of the Treasury to...more
On October 13, 2023, the Securities and Exchange Commission (the “SEC”) adopted new Rule 13f-2 (the “New Rule”) under Section 13(f)(2) of the Securities Exchange Act of 1934 (the “Exchange Act”), as well as related Form SHO....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
July 6, 2022 While many alternative investment manager founders (“Founders”) opt to wind down their businesses over time, there is an increasing number who instead seek to pass the baton onto the next generation of talent at...more
In the wake of the coronavirus-induced lockdown and the realization that technology allows firms to operate virtually anywhere, many private fund managers have relocated their headquarters to other locations in order to take...more
On June 13, 2022, the Securities and Exchange Commission (“SEC”) entered a settled order (“Order”) against three of The Charles Schwab Corporation’s investment adviser subsidiaries (collectively, “Schwab”) on charges that...more
6/21/2022
/ Charles Schwab ,
Enforcement Actions ,
Failure To Disclose ,
False Statements ,
Fiduciary Duty ,
Form ADV ,
Investment Management ,
Management Fees ,
Misleading Statements ,
Robo-Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Violations