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Practice Area
Investment Management
Paul M. Miller is a partner in Seward & Kissel’s Investment Management Group and is located in Seward & Kissel’s Washington D.C. office. Mr. Miller joined Seward & Kissel in 1998.
Mr. Miller’s practice focuses primarily on registered investment companies, registered investment advisers and broker-dealers. He has worked extensively on the full range of matters affecting mutual funds, including their formation, their registration with the Securities and Exchange Commission under the Investment Company Act of 1940, their service provider arrangements with investment advisers, distributors, transfer agents and custodians and their ongoing regulatory reporting and compliance obligations. He has also worked extensively on the full range of matters affecting registered investment advisers, including their formation, their registration with the Securities and Exchange Commission under the Investment Advisers Act of 1940, their participation in managed account and wrap programs and their ongoing regulatory reporting and compliance obligations. He has advised investment companies and investment advisers on matters relating to their periodic examination by the staff of the Securities and Exchange Commission. He has advised broker-dealers on their ongoing regulatory and compliance obligations and on brokering deposit products and deposit account sweep products.
Mr. Miller is co-author of several published articles, including Complying with State Gaming Regulations, Investment Adviser Association Newsletter, March 2006; The New Mutual Fund Redemption Fee Rule, The Journal of Investment Compliance, Summer 2005; Disclosure of Market Timing, Fair Value Pricing, and Selective Disclosure Policies, The Investment Lawyer, August 2004; and Compliance Programs of Registered Investment Advisers and Investment Companies, The Review of Securities and Commodities Regulation, February 2004.
Mr. Miller received a B.S. degree in Business Administration from the University of North Carolina at Chapel Hill (Kenan-Flagler Business School) in 1994 and a J.D. degree, cum laude, from the College of Law at Syracuse University in 1998. Mr. Miller is a member of the bars of Washington D.C. and Virginia. He is also a member of the Federal Bar Association and the Virginia Bar Association.
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