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Securities and Exchange Commission (SEC) Outsourcing

Miller Canfield

2024 Regulatory Update for Investment Advisers

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In 2023, the Securities and Exchange Commission issued various proposed rules on regulatory changes that will affect SEC-registered investment advisers (RIAs). Since these rules are likely to be put into effect, RIAs should...more

Seward & Kissel LLP

SEC Issues Updated Fall 2023 Regulatory Agenda

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Who may be interested: Registered Investment Companies, Investment Advisers - Quick Take: The Office of Information and Regulatory Affairs, a division of the Office of Management and Budget, recently issued the Fall 2023...more

Faegre Drinker Biddle & Reath LLP

You Made the List: SEC’s Spring Agenda Would Impact Broker-Dealers

The SEC’s Office of Information and Regulatory Affairs recently released the Spring 2023 Unified Agenda of Regulatory and Deregulatory Actions (the Agenda). The word salad of a title hints at the fact the SEC is considering a...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - February 2023

In this issue, we cover regulatory developments impacting the investment management sector, including updates on closed-end fund activism and various new and revised SEC rules....more

Miller Canfield

2023 Regulatory Update for Investment Advisers

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​​​​​​​In 2023, Registered Investment Advisers (“RIAs”) who are registered with the Securities and Exchange Commission (“SEC”) should be prepared for regulatory changes. These include proposed changes to rules governing RIA...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Rule on Outsourcing by Investment Advisers

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 (Advisers Act), as well as amendments to Form...more

Dorsey & Whitney LLP

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers

Dorsey & Whitney LLP on

The Securities and Exchange Commission (the “SEC”) recently proposed new rule 206(4)-11 and related recordkeeping and reporting requirements (collectively, the “Proposed Rule”) under the Investment Advisers Act of 1940 (the...more

Holland & Hart LLP

New Proposed Rules for Investment Adviser Outsourcing

Holland & Hart LLP on

On October 26, 2022, the US Securities and Exchange Commission (the "SEC") proposed a new rule (206(4)-11) and amendments under the Investment Advisers Act of 1940 that prohibit registered investment advisers from outsourcing...more

Katten Muchin Rosenman LLP

Financial Markets and Funds Quick Take | Issue 8

SEC Advertising Rules – Client Resource Center - November 4 was the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule substantially revises decades old...more

Morgan Lewis

SEC Proposes New Rule Relating to Outsourcing of Services by Investment Advisers

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The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment advisers to meet certain requirements when outsourcing certain...more

Eversheds Sutherland (US) LLP

SEC proposes service provider oversight requirements for investment advisers

On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 under the Investment Advisers Act of 1940 (Advisers Act), which would prohibit SEC-registered investment advisers from outsourcing...more

Sullivan & Worcester

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

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On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed a new rule under the Investment Advisers Act of 1940 ("Advisers Act") to prohibit registered investment advisers from outsourcing certain services...more

ArentFox Schiff

SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisors

ArentFox Schiff on

On October 26, 2022, the US Securities and Exchange Commission (SEC) proposed a new rule and rule amendments under the Investment Advisors Act that, if passed, would prohibit registered investment advisors from outsourcing...more

UB Greensfelder LLP

[Webinar] The Future for Private Funds and Their Advisors – More Regulation; Less Private - February 23rd, 2:00 pm - 3:00 pm EST

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Join Ulmer partner Howard M. Groedel as he discusses recent regulatory actions and what they portend for private funds and their advisors. Among other topics, Howard will address: - The primary take-aways from SEC...more

A&O Shearman

Revised Global Principles on Outsourcing for Regulated Participants in the Securities Markets

A&O Shearman on

The International Organization of Securities Commissions has published an updated Principles on Outsourcing for regulated market participants in the securities markets.  The updated Principles are based on IOSCO’s 2005...more

Ogletree, Deakins, Nash, Smoak & Stewart,...

Beltway Buzz - October 2019 #4

NLRB News. Here are a couple recent developments at the National Labor Relations Board (NLRB) that are worthy of note: ..Over the last two decades, the Board has flip-flopped three different times on the question of...more

Opportune LLP

Why Reserve Engineering Capabilities Boost Outsourcing Solutions

Opportune LLP on

While U.S. oil production and, with it prices, are on the rise (at least year-over-year), oil and gas companies continue to maintain financial and operational discipline they acquired, albeit unwillingly, from a four-year...more

Foley & Lardner LLP

A Compilation of Enforcement and Non-Enforcement Actions

Foley & Lardner LLP on

Non-Enforcement - A Source of Concern for the SEC — The Outsourcing by Investment Advisers and Funds of Compliance Activities - In a recent National Exam Program Risk Alert (dated November 9, 2015) the U.S....more

Stinson - Corporate & Securities Law Blog

SEC Warns on Outsourced Chief Compliance Officers

The SEC’s Office of Compliance Inspections and Examinations, or OCIE, recently issued a risk alert titled “Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers.” According to the alert, OCIE...more

Bracewell LLP

SEC Issues Report on Increasing Use of Outsourced Chief Compliance Officers

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In November 2015, the Securities and Exchange Commission (SEC) released its Outsourced CCO Initiative Report. The report addressed the increased trend of outsourcing compliance activities to third-party consultants within the...more

Morgan Lewis

SEC Exam Staff Shares Observations on Outsourced Chief Compliance Officers

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Firms that use third-party CCOs or that rely on financial intermediaries that have outsourced their compliance functions should consider taking a fresh look at their compliance structure in the wake of this guidance....more

Morrison & Foerster LLP

Investment Management Legal + Regulatory Update - November 2015

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Regulation - OCIE Cautions Advisers on Outsourcing Compliance Activities: In a Risk Alert dated November 9, 2015, the SEC’s Office of Compliance Inspections and Examinations (OCIE) said it found that outsourced...more

Foley Hoag LLP

OCIE Issues Risk Alert Relating to Outsourced Chief Compliance Officers

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On November 9, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) released the findings of its Outsourced CCO Initiative, which examined nearly 20 investment advisers and investment companies that are...more

Goodwin

SEC Releases Risk Alert Related to Outsourcing of Chief Compliance Officer Duties by Investment Advisers and Investment Companies

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On Nov. 9, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert reporting observations from its examination of investment advisers and investment companies that outsource their Chief...more

Goodwin

Financial Services Weekly News - November 2015 #2

Goodwin on

Regulatory Developments: CFTC and NFA Staff Publish FAQs and Other Resources for Filing and Reporting on Forms CPO-PQR and CTA-PR - On Nov. 5 the Division of Swap Dealer and Intermediary Oversight of the CFTC...more

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