Kris Swiatek

Seward & Kissel LLP

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Upcoming Reminders for FinCEN Beneficial Ownership Information Reporting

The Financial Crimes Enforcement Network’s (“FinCEN’s”) beneficial ownership reporting rule, issued under the Corporate Transparency Act (the “CTA” and such rule, the “BOI Reporting Rule”) became effective as of January 1,...more

11/27/2024 / Beneficial Owner , Corporate Transparency Act , FinCEN , Investment Management , New Rules , Reporting Requirements

T+1 Settlement Cycle: Implications for Investment Advisers

Starting May 28, 2024, the settlement cycle for most transactions in U.S. securities will shorten from T+2 to T+1 as a result of rule amendments adopted by the Securities and Exchange Commission (SEC).1 The SEC also adopted a...more

5/3/2024 / Broker-Dealer , Compliance , Investment Adviser , Investment Advisers Act of 1940 , New Rules , Policies and Procedures , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act of 1934 , Settlement

FinCEN's New Rule on Beneficial Ownership Information Reporting Requirements: Application to Investment Advisers and Related...

January 1, 2024 is the effective date of a new rule (the “BOI Reporting Rule”) issued under the Corporate Transparency Act requiring domestic and foreign corporations, limited liability companies and other similar entities...more

1/3/2024 / Beneficial Owner , Corporate Entities , Corporate Transparency Act , Filing Deadlines , FinCEN , Foreign Entities , Investment Adviser , New Rules , Registered Investment Advisors , Reporting Requirements

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