Lauded for its ability to ‘facilitate smooth funds registration and provide timely counsel to avoid on-going compliance pitfalls’, Seward & Kissel LLP hosts team members who have held senior positions at regulatory agencies and strong relationships with the SEC. This expertise covers regulatory advice relating to SEC rules and developments as well as reorganizations and fund acquisitions, as well as being strong in fund structuring. One preeminent practitioner in the regulatory space is Robert Kurucza in Washington DC, who excels in in federal banking and securities laws and leads the group alongside. Patricia Poglinco in New York and Paul Miller in Washington DC. Lauren Clise in Washington DC is a key name.
Legal 500 Editorial commentary
Testimonials
Collated independently by Legal 500 research team.
‘Expertise in registered funds & 1940 act law, team of professional staff who provide excellent customer service, able to handle multiple tasks and strong relationships with the SEC.’
‘Expertise allows to understand nuances of mutual/registered/exchange-traded fund law and able to provide much needed guidance and counsel to facilitate smooth funds registration and provides timely counsel to avoid on-going compliance pitfalls, especially on complex issues. Paul Miller is a consummate professional with the expertise and deep knowledge of funds law and always provide much needed counsel.’
Key clients
- AllianceBernstein
- Aegis Funds/Aegis Financial Corporation
- Akre Capital Management LLC
- Fairholme Funds/Fairholme Capital Management LLC
- Prospector Funds/Prospector Partners Asset Management
- Sequoia Fund/Ruane, Cunniff & Goldfarb LP
- Homestead Funds
Work highlights
Advising AllianceBernstein on the launch of five new active ETFs.
Lawyers
Practice head
Paul Miller
Other key lawyers
Lauren Clise; Robert M. Kurucza; Patricia A. Poglinco