Seward & Kissel LLP

40 Act Blog - 5 new articles

Adviser Repeats Custody Rule Violations

The SEC brought an enforcement action against an adviser, two of its owners, and a former chief compliance officer in connection with the adviser...

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SEC Proposes New Rules to Increase the Transparency and Enhance the Oversight of Alternative Trading Systems

The SEC proposed new rules addressing alternative trading systems (ATSs) that trade stocks listed on a national securities exchange (NMS stocks),...

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Mutual Fund Adviser Charged with Advertising False Performance Data

Virtus Investment Advisers settled SEC charges that it misled mutual fund investors and others with advertisements containing false historical...

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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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