Click here for notes from June 15, 2017 members meeting with Mark J. Dowdell, Assistant Regional Director of Securities and Exchange Commission (Philadelphia Regional Office).

Seward & Kissel LLP


40 Act Blog - 5 new articles


Seward & Kissel participates in Washington, DC Compliance Roundtable

Click here for notes from June 15, 2017 members meeting with Mark J. Dowdell, Assistant Regional Director of Securities and Exchange Commission...

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Q&As -- Now That the DOL's Fiduciary Rule Is Applicable

Q 1: What representations should a private investment fund get from new "benefit plan investors"?

A: Assuming that an investment manager or "you" are...

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New Rules to Modernize Reporting Obligations of Registered Investment Companies

In October 2016, the Securities and Exchange Commission ("SEC") adopted new rules and forms, as well as amendments to existing rules and forms, to...

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The DOL Fiduciary Rule - Action Steps for Investment Managers

The new Department of Labor fiduciary rule (the "Fiduciary Rule") will be applicable on June 9, 2017. If you have not already done so, you need to...

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The Department of Labor Delays the New Fiduciary Rule

On Friday April 7th, the Department of Labor published in the Federal Register amendments to its fiduciary regulation (the "New Fiduciary Rule") and...

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