Michael Watling

Seward & Kissel LLP

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Latest Posts › Policies and Procedures

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SEC Voluntarily Dismisses Action against Hedge Fund Manager over Safeguarding Confidential Information while Participating on...

On April 7, 2024, the United States District Court for the District of Connecticut approved the Securities and Exchange Commission’s request to dismiss its action against a hedge fund manager for the manager’s alleged failure...more

4/16/2025 / Confidential Information , Dismissals , Enforcement Actions , Hedge Funds , Insider Trading , Investment Advisers Act of 1940 , Investment Management , Policies and Procedures , Securities and Exchange Commission (SEC) , Settlement

SEC Enforcement of Off-Channel Communications Continues - New Series of Firms Charged with Penalties Totaling $289 Million

Summary of the Recent SEC Actions - On August 8, 2023, in yet another set of enforcement actions in the space, the U.S. Securities and Exchange Commission (the “SEC”) settled charges against ten broker-dealers and a dually...more

8/18/2023 / Broker-Dealer , Enforcement , Investment Adviser , Noncompliance , Penalties , Policies and Procedures , Recordkeeping Requirements , Securities and Exchange Commission (SEC) , Securities Exchange Act

SEC Proposes Amendments to Best-Execution Rule

Yesterday, SEC Chair Gary Gensler announced proposed amendments to Rule 605 of Regulation NMS to modernize and expand disclosure requirements related to order execution quality. Chair Gensler stated that he was “pleased to...more

12/16/2022 / Conflicts of Interest , Cybersecurity , Policies and Procedures , Proposed Amendments , Retail Investors , Securities and Exchange Commission (SEC)

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