Seward & Kissel LLP


40 Act Blog - 5 new articles


Alternative Mutual Fund Found to Have Violated Custody and Brokerage Rules

The SEC brought an enforcement action against Water Island Capital LLC (Water Island), in connection with investment company custody violations....

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SEC Division of Investment Managment Director is Resigning January 25, 2015

Investment Management Director to Leave the SEC

Norm Champ, the Director of the SEC’s Division of Investment Management is resigning at the end of...

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2015 Exam Priorities Issued by OCIE

The SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its 2015 examination priorities. OCIE stated that the priorities...

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Deadline for Mutual Funds to Reaffirm Their CFTC Rule 4.5 Notices

A mutual fund currently relying on Rule 4.5 under the Commodity Exchange Act must reaffirm or withdraw of its existing notice by March 2, 2015. Rule...

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SEC Appoints New Associate Director of OCIE

The SEC named Kevin M. Kelcourse as the Associate Director of the Office of Compliance Inspections and Examinations (OCIE) in Boston, Massachusetts....

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