Seward & Kissel Launches Regulatory Compliance Service for Asset Managers

Jul 18 2017 | 10:13pm ET

Well-known alternatives law firm Seward & Kissel has debuted a new suite of full-scale integrated compliance services for asset managers.

The new consulting service, named Seward & Kissel Regulatory Compliance (SKRC) provides comprehensive and cost-efficient assistance to asset managers in the onerous task of complying with regulatory obligations. It helps funds with registration, preparation of policies and procedures, and continued day-to-day advice and assistance with compliance issues, the company said.

SKRC services are provided by the firm’s attorneys on a flexible basis and specifically include mock audits designed to prepare clients for regulatory examination, analysis of policies, procedures, and practices to identify potential deficiencies, and in-person interviews of key company personnel.

In addition, SKRC includes an online subscription portal that gives investment advisers access to critical documents required to complete registration forms.

“Through the integrated offerings of SKRC, Seward & Kissel becomes a one-stop shop for investment managers in dealing with compliance issues,” said David Tang, counsel in Seward & Kissel’s Investment Management Group and a former CCO who is heavily involved in SKRC. “Given our history in the investment management field, we believe we are in an excellent position to assist funds and asset managers with this groundbreaking approach to regulatory compliance.”

Founded in 1890, Seward & Kissel LLP is a major U.S. law firm particularly well known for its hedge fund and alternative investment management expertise. It was involved in the establishment of A.W. Jones, widely considered to be the first hedge fund, in 1949.


In Depth

Q&A: Decathlon Capital On Revenue-Based Alternative Lending

Oct 30 2017 | 3:49pm ET

The explosion in private credit activity since the end of the financial crisis is...

Lifestyle

CFA Institute To Add Computer Science To Exam Curriculum

May 24 2017 | 9:25pm ET

Starting in 2019, financial industry executives sitting for the coveted Chartered...

Guest Contributor

CAIS: How Technology is Disrupting the Alternative Investment Industry

Nov 7 2017 | 5:35pm ET

If there’s one thing that alternative investment professionals can agree on, it...