SEC Proposes Rule on Outsourcing by Investment Advisers

Outsourcing by Investment Advisers - SEC.gov

The Securities and Exchange Commission ("Commission' or "SEC') is proposing a new rule under the Investment Advisers Act of 1940 ("Advisers ...

SEC Proposes New Oversight Requirements for Certain Services ...

The Securities and Exchange Commission today proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit ...

SEC Proposes Rule on Outsourcing by Investment Advisers | Insights

The SEC recently proposed new and amended rules that focus on investment advisers' outsourcing of certain functions or services, ...

SEC Set to Finalize Rules on Outsourcing by Registered Investment ...

The proposed rule on outsourcing was designed to prohibit RIAs from outsourcing certain services or functions without meeting minimum regulatory ...

SEC Proposes New Rule Relating to Outsourcing of Services by ...

The New Proposed Rule requires an adviser to periodically monitor a Service Provider's performance of a Covered Function in order to reassess ...

SEC Proposes to Regulate Investment Advisers' Outsourcing ...

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 ...

Outsourcing by Investment Advisers - Federal Register

The Securities and Exchange Commission (“Commission” or “SEC”) is proposing a new rule under the Investment Advisers Act of 1940 (“Advisers Act”) ...

Outsourcing by Investment Advisers - SEC.gov

New proposed rule 206(4)-11 would establish an oversight framework across SEC- registered advisers that outsource a “covered function”; that is, a function ...

Outsourcing by Investment Advisers: SEC's Proposed Rule Irks ...

The verdict is in. The comment period for the SEC's Proposed Rule on Outsourcing by Investment Advisers (the “Proposed Rule”) ended on ...

SEC proposes new oversight requirements for certain services ...

The SEC's proposed new oversight rule and rule amendments under the Investment Advisers Act of 1940 (Advisers Act) prohibit registered ...

SEC Proposes New Requirements for Adviser Oversight of Service ...

Among other types of service providers, it is likely that fund administrators and outsourced chief financial officers would be encompassed by ...

Proposed rule: Outsourcing by Investment Advisers - SEC.gov

The Commission will post all comments on the Commission's website (http://www.sec.gov/rules/proposed.shtml). Comments are also available for ...

SEC Proposes New Outsourcing Regulation for Advisers | ACA Group

The proposed rule requires investment advisers to ensure that third-party service providers can do their job before, and periodically after, ...

New Requirements for Outsourcing by Advisers: Proposed SEC ...

On October 26, 2022, the U.S. Securities and Exchange Commission (“SEC”) proposed a new rule under the Investment Advisers Act of 1940 ...

SEC Proposes New Rule and Related Amendments Addressing ...

On October 26, 2022, the SEC proposed a new rule and related rule amendments under the Investment Advisers Act[1] (the “Proposed Rules”) ...

SEC Proposes Rule Regarding Obligations for Advisers...

The Proposed Rule would prohibit an adviser from retaining a service provider to perform a covered function unless the adviser conducts certain ...

SEC Proposes New Rule to Require Investment Advisers to Conduct ...

Many advisers employ a layered approach to serving their clients, providing some services themselves and outsourcing others. Commonly outsourced ...

SEC Proposes New Investment Adviser Outsourcing Oversight ...

Proposed Rule 206(4)-11 intends to create a consistent oversight framework for the industry and specific standards for which registered ...

SEC Proposes New Oversight Requirements for Certain Services ...

If adopted, the Proposed Rule would require registered investment advisers (“advisers”) to conduct due diligence before outsourcing covered ...

SEC Proposes New Oversight Requirements for Certain Services ...

The Proposed Rule is consistent with the SEC's continued focus on advisers that outsource investment advisory activities and responsibilities to ...