Practices
Lance King is counsel in Seward & Kissel’s Investment Management Group and is located in the Washington, DC office.
Lance’s practice focuses on a broad range of regulatory, compliance, and transactional matters affecting investment companies and registered investment advisers. His experience includes counseling clients in the establishment, registration, and operation of registered investment companies; developing and reviewing compliance programs for investment companies and investment advisers; and counseling clients undergoing regulatory examinations.
Lance previously served as assistant vice president and associate general counsel at an investment management firm, where his responsibilities included the preparation of disclosure and regulatory filings, the review of mutual fund advertising, and drafting and reviewing contracts with service providers. He formerly held Series 7 (General Securities Representative), Series 24 (General Securities Principal), and Series 53 (Municipal Securities Principal) FINRA licenses, and earned the Claritas® Investment Certificate from the CFA Institute.
Lance received a B.A. from Tufts University and a J.D. from The University of Pennsylvania Carey Law School.
Publications
- Co-authored, “SEC Proposes Improvements to EDGAR Filer Access and Account Management,” Seward & Kissel (October 3, 2023)
- Co-authored, “SEC Sweep into Marketing Rule Violations Results in Charges Against Nine Investment Advisers,” Seward & Kissel (October 3, 2023)
- Co-authored, “Seward & Kissel Releases Second Edition of SPV Snapshot Report,” Seward & Kissel (September 20, 2023)
- Co-authored, “Compliance Dates for Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (September 18, 2023)
- Co-authored, “SEC Charges FinTech Investment Adviser with First Violation of the Marketing Rule and Additional Compliance Violations,” Seward & Kissel (September 11, 2023)
- Co-authored, “Seward & Kissel Releases Third Edition of SMA Snapshot Report,” Seward & Kissel (September 6, 2023)
- Co-authored, “The SEC Adopts Final Rules Regarding the Regulation of Private Fund Advisers,” Seward & Kissel (August 25, 2023)
- Co-authored, “SEC Enforcement of Off-Channel Communications Continues – New Series of Firms Charged with Penalties Totaling $289 Million,” Seward & Kissel (August 16, 2023)
- Co-authored, “The Modern De-SPAC and a Way Forward,” Seward & Kissel (July 27, 2023)
- Co-authored, “SEC Adopts Money Market Reforms,” Seward & Kissel (July 24, 2023, as revised August 4, 2023)
- Co-authored, “Expiration of SEC Staff’s No Action Letters Providing Relief to Broker-Dealers Providing MiFID II Requirements Research,” Seward & Kissel (July 17, 2023)
- Co-authored, “Seward & Kissel’s Established Manager Hedge Fund Study,” Seward & Kissel (June 20, 2023)
- Co-authored, “Seward & Kissel’s 2022 New Manager Hedge Fund Study,” Seward & Kissel (May 17, 2023)
- Co-authored, “Building a Scalable Hedge Fund Business,” Seward & Kissel (April 19, 2023)
- Co-authored, “SEC Division of Examinations Announces 2023 Priorities,” Seward & Kissel (February 22, 2023)
- Co-authored, “New HSR Filing Thresholds and Fee Schedule,” Seward & Kissel (January 26, 2023)
- Co-authored, “New Omnibus Bill Codifies M&A Broker-Dealer SEC Registration Exemption,” Seward & Kissel (January 17, 2023)
- Co-authored, “Seward & Kissel’s Investment Management 2022 Year in Review,” Seward & Kissel (January 13, 2023)
- Co-authored, “SEC Updates FAQ Regarding Marketing Rule Compliance – Displays of Gross and Net Performance,” Seward & Kissel (January 12, 2023)
- Co-authored, “Memo to Clients 2023 – Annual Reminders,” Seward & Kissel (January 4, 2023)
- Co-authored, “Seward & Kissel Registered Funds Group 2022 Wrapped,” Seward & Kissel (December 28, 2022)
- Co-authored, “Merger of TIC Form S into Revised TIC Form SLT,” Seward & Kissel (December 12, 2022)
- Co-authored, “SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers,” Seward & Kissel (November 30, 2022)
- Co-authored, “SEC Adopts Amendments to Increase Proxy Voting Transparency,” Seward & Kissel (November 30, 2022)
- Co-authored, “SEC Adopts Rule and Form Amendments Relating to Shareholder Reports and Investment Company Advertisements,” Seward & Kissel (November 17, 2022)
- Co-authored, “Seward & Kissel Releases 2021/2022 Hedge Fund Side Letter Study,” Seward & Kissel (October 25, 2022)
- Co-authored, “New York City Implements Pass-Through Entity Tax for 2022,” Seward & Kissel (October 19, 2022)
- Co-authored, “Introducing the SPV Snapshot Report,” Seward & Kissel (October 12, 2022)
- Co-authored, “New Marketing Rule: One Month Away from the Compliance Date,” Seward & Kissel (October 4, 2022)
- Co-authored, “Wealth Management Firm Charged with S-P Violations for Failing to Properly Dispose of its Hard Drives,” Seward & Kissel (October 4, 2022)