In a no-action letter dated September 22, 2017 (the “September 2017 Letter”), the Office of Chief Counsel of the SEC’s Division of Investment Management (the “Staff”) extended the temporary assurances it previously provided to a fund group ...

Seward & Kissel LLP


40 Act Blog - 5 new articles


SEC’s Division of Investment Management Extends Limited “Loan Rule” Relief

In a no-action letter dated September 22, 2017 (the “September 2017 Letter”), the Office of Chief Counsel of the SEC’s Division of Investment...

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Risk Alert on the Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers

The SEC has released a Risk Alert on those compliance issues that were most frequently identified in deficiency letters recently sent to...

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DOL Extends the Advice Fiduciary Rule's Transition Period

In order to review and possibly revise the advice fiduciary rule, the Department of Labor (DOL) has proposed extending the existing transition period...

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Dalia Blass named Director of the Division of Investment Management

Dalia Blass has been named Director of the Division of Investment Management. The Division oversees and regulates the multi-trillion dollar...

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Considerations Presented By Amended Form ADV Effective October 1, 2017

As a reminder, an investment adviser registered or required to be registered with the SEC (each, an "Adviser") filing an initial Form ADV or an...

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