Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC Brings 9(a) Order Against Affiliates of an Investment Company Complex

The SEC brought an enforcement action against Macquarie Capital Investment Management LLC, an adviser to a number of mutual funds, Delaware...

Read the whole entry »

      


New Investment Company and Adviser Information Collecting Rules Proposed by the SEC

The SEC at an open meeting propose rules designed to increase the SEC’s regulatory oversight and risk monitoring of investment advisers and...

Read the whole entry »

      


Adviser Found to Have Operated a Deficient Compliance Program

The SEC brought an enforcement action against Trust & Investment Advisors, Inc. (TIA), based in Indianapolis, Indiana, Larry K. Pitts, its...

Read the whole entry »

      


SEC Names David Grim as the New Director of the Division of Investment Management

The SEC named David Grim as the Director of its Division of Investment Management.  Mr. Grim has been the Division’s acting director since...

Read the whole entry »

      


Adviser Charged with Improper Expense Allocations Among Fund Clients

The SEC brought an enforcement action against Alpha Titans LLC,an adviser to private funds, and Timothy P. McCormack and Kelly D. Kaeser, two of its...

Read the whole entry »

      


More Recent Articles



Click here to safely unsubscribe from 40 Act Blog. Click here to view mailing archives, here to change your preferences, or here to subscribePrivacy