Seward & Kissel LLP

40 Act Blog - 5 new articles

Portfolio Manager Charged with Insider Trading

The SEC charged Oscar Wu, a portfolio manager for a registered investment adviser based in New York, New York with insider trading. The SEC found...

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Wyatt Named Director of OCIE

The SEC named Marc Wyatt as Director of its Office of Compliance Inspections and Examinations (OCIE). In that position, he will also lead the SEC's...

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Adviser Charged with Allocating Its Legal and Compliance Expenses to Fund Clients

The SEC brought an enforcement action Cherokee Investment Partners, LLC, a private equity fund adviser, and an affiliate (Cherokee) that was at all...

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SEC Enforcement Director Speaks About Compliance Officers

Andrew Ceresney, Director of the SEC's Division of Enforcement, gave a speech at the NSCP's National Annual Conference on his Division's perspective...

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Missing Information Barriers Leads to Enforcement Action Against Investment Adviser

The SEC brought an enforcement action against Wolverine Trading, LLC, a registered broker-dealer, and its affiliate, Wolverine Asset Management, LLC,...

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