Article

jdsupra.com on 2022-11-05 07:04

SEC Proposes New Rule Requiring Investment Adviser Oversight of Certain Third Party Service Providers

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

Related news

SEC Proposes New Requirements for Adviser Oversight of Service Providers jdsupra.com
Section 7
SEC Proposes New Investment Adviser Outsourcing Oversight Requirements jdsupra.com
Section 7
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers jdsupra.com
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisors jdsupra.com
SEC Proposes Rule Requiring Hedging Disclosure jdsupra.com
Wall Street
SEC Proposes Rule Requiring Executive Compensation Clawbacks jdsupra.com
Wall Street
SEC proposes requiring electronic EDGAR filings jdsupra.com
SEC Proposes to Modernize Certain Disclosure Requirements jdsupra.com
Republican lawmaker proposes increased oversight of abortion providers Santa Fe New Mexican
SEC Proposes Exemption from Registration for Certain Finders jdsupra.com
SEC Proposes Oversight Requirements for Services Outsourced by Investment Advisers jdsupra.com
FinCEN Proposes Extending AML/CFT Requirements to Certain Investment Advisors jdsupra.com
FinCEN Proposes AML Requirements for Certain Investment Advisers jdsupra.com
United States
SEC Proposes New Rules Requiring Universal Proxy Cards jdsupra.com
DOL Proposes Rule Requiring Increased Proxy Voting Analysis and Recordkeeping jdsupra.com
Reg
NASDAQ Proposes Rule Requiring Disclosure of “Golden Leash” Arrangements jdsupra.com
SEC proposes significant changes to private fund adviser rules neworleanscitybusiness.com
SEC Proposes Rule for Investment Advisers Engagement of Service Providers jdsupra.com
SEC Proposes Amendments to Update and Simplify Certain Disclosure Requirements jdsupra.com