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December 13, 2022
On October 26, the SEC proposed a new Advisers Act rule (the “Proposed Rule”) that would establish specific obligations for Registered Investment Advisers with respect to outsourcing of...
November 22, 2022
On October 26, the Securities and Exchange Commission (SEC) issued a rule release (Release) that proposed new and amended rules (Proposed Rule) under the Investment Advisers Act of...
November 15, 2022
On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed Rule 206(4)-11, a new rule ("Proposed Rule") under the Investment Advisers Act of 1940 ("Advisers Act") that ...
November 10, 2022
On October 26, 2022, the SEC issued a release (the "Release") proposing new Rule 206(4)-11 under the Advisers Act (the "Proposed Rule") to prohibit registered investment advisers ...
November 9, 2022
The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain...
November 9, 2022
On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the “Vendor Oversight Rule” or the “Rule”) to prohibit investment advisers registered...
October 28, 2022
On Oct. 26, 2022, the Securities and Exchange Commission (SEC) proposed a new rule and rule amendments that would prohibit registered investment advisers from outsourcing various...