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Seward & Kissel LLP

Memo to Clients 2023 - Annual Reminders

Seward & Kissel LLP on

This Memorandum is intended to remind you of certain U.S. annual requirements that may be applicable to your business and is divided into five sections. All investment advisers (whether or not registered with the Securities...more

Allen Matkins

No Blue Sky For Almost A Half Century

Allen Matkins on

Kansas claims the pride of place in with its enactment in 1911 of the country's first general securities law.  Kan. L. 1911, ch. 133. Kansas Bank Commissioner J.N. Dolley, the author of that law, is also given credit for the...more

Mintz

Fund Manager Annual Update

Mintz on

The SEC brought a record number of enforcement actions against investment advisers in 2015, resulting in approximately $4.2 billion in sanctions.1 This alert highlights current issues for private equity, venture capital and...more

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