Seward & Kissel LLP

40 Act Blog - 5 new articles

Class Action Excessive Fee Case Filed Against a Fund

Schneider Wallace Cottrell Konecky Wotkyns brought a class-action excessive fee case making Section 36(b) claims against State Farm Investment...

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Commissioner Aguilar Calls for Greater Clarity of Enforcement Orders

SEC Commissioner Aguilar, who is set to leave the SEC in the near future, issued a statement calling for greater clarity in written SEC orders. He...

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SEC Chairman White Speaks on CCO Enforcement Actions

SEC Chairman Mary Joe White addressed the SEC's enforcement activity with respect to CCOs of advisers and broker-dealers at the Compliance Outreach...

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SEC Issues No-Action Letter Allowing Unique Master-Feeder BDC

The SEC granted no-action relief to Carey Credit Advisors, LLC (Adviser) and Guggenheim Partners Investment Management, LLC (Sub-Adviser), allowing...

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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...

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