Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC Commissioner Gives Speech on the Application of SIFI to Large Investment Managers

SEC Commissioner Dan Gallagher gave a speech titled ""Bank Regulators at the Gates: The Misguided Quest for Prudential Regulation of Asset Managers"...

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Wyatt is Named Acting Director of OCIE

The SEC's Office of Compliance Inspections and Examinations (OCIE) named Marc Wyatt as its Acting Director. OCIE conducts the SEC’s National Exam...

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Company's Confidentiality Agreement Conflicts with Whistleblower Rule

The SEC brought its first enforcement action against a company for using overly restrictive language in confidentiality agreements with the potential...

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CLO Funds Adviser Found to Have Had Faulty Valuation Procedures

The SEC brought fraud charges against Patriarch Partners, an investment adviser based in New York, certain related firms and Lynn Tilton for...

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Adviser to Offshore Funds Committed Form ADV, Website and Other Violations

Acamar Global Investments, LLC, a formerly SEC-registered investment adviser, and its principal, Rudolph A. Martin, were the subject of an SEC...

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