SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers | Seward & Kissel LLP
The Securities and Exchange Commission (the “SEC”) has proposed new rule 206(4)-11 (the “Proposed Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). If adopted, the ...
Exchange Commission Service Provider Oversight Seward Kissel Party Record Keepers Definition Of Service Provider Investment Advisers Act
Source: jdsupra.com