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SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers | Seward & Kissel LLP

Published: December 1, 2022

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 ...

Source: jdsupra.com

Related Topics:

Exchange CommissionService Provider OversightSeward KisselParty Record KeepersDefinition Of Service ProviderInvestment Advisers ActProposed RuleAdvisers ActProvider OversightThird Party RecordInvestment AdvisersFederal Register