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SEC Proposes Rule on Outsourcing by Investment Advisers | Skadden, Arps, Slate, Meagher & Flom LLP - Vimarsana News

SEC Proposes Rule on Outsourcing by Investment Advisers | Skadden, Arps, Slate, Meagher & Flom LLP

Published: December 1, 2022

On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed a new Rule 206(4)-11 and amendments to Rule 204-2 under the U.S. Investment Advisers Act of 1940...

Source: jdsupra.com
Related Topics:
Gary GenslerExchange CommissionService ProvidersMeagher FlomParty RecordkeepingParty RecordkeepersAdvisers ActRecords RuleInvestment AdvisersProposed Amendment Regarding Service Providers
SEC Proposes New Requirements for Adviser Oversight of Service Providers | K&L Gates LLP - Vimarsana News

SEC Proposes New Requirements for Adviser Oversight of Service Providers | K&L Gates LLP

Published: November 12, 2022

SUMMARY - On 26 October 2022, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the Proposed Rule) under the Investment Advisers Act of 1940 (Advisers Act) and...

Source: jdsupra.com
Related Topics:
Exchange CommissionKl GatesClient ServicesA Service ProviderInvestment CompanyParty RecordkeepingPeriodic Monitoring Of Service ProvidersProposed RuleInvestment Advisers ActAdvisers ActProposing ReleaseInvestment Company ActDiligence PriorInvestment Advisers