Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC Charges Adviser with Failure to Disclose Its True Ownership and Conflicts of Interest

The SEC brought an administrative action against SignalPoint Asset Management, LLC (SAM), and several related individuals (Principals) for failing to...

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SEC Provides Proxy Voting Guidance

The SEC’s Division of Investment Management issued Staff Legal Bulletin No. 20 which provides guidance about an investment adviser’s...

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SEC Adopts Cross-Border Swap Rules

The SEC proposed a series of rules addressing the application of security-based swap regulatory requirements under Title VII of the Dodd-Frank Wall...

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Adviser Found to Have Improperly Relied Upon Registration Exemptions

The SEC brought an administrative action against Penn Mezzanine Partners Management, L.P. and TL Ventures Inc., a related investment adviser, in...

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Adviser Charged with Front Running

The SEC brought an enforcement action against Siming Yang, alleging that Yang engaged in a fraudulent front-running scheme whereby he sought to...

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