News & Analysis as of

Third-Party Service Provider Compliance Recordkeeping Requirements

Mintz - Technology, Communications & Media...

Telephone and Texting Compliance News: Regulatory Update — Federal Communications Commission Allows Third-Party Call...

The Federal Communications Commission (Commission) adopted a Report and Order authorizing telecommunications service providers with a STIR/SHAKEN caller ID authentication obligation (i.e., originating, intermediate, and...more

Holland & Knight LLP

Changing of the Guard? SEC Proposes Significant Amendments to the Safeguards Rule

Holland & Knight LLP on

The SEC continued its recent onslaught of proposed cybersecurity rules in mid-March with three new proposals covering a litany of entities, including investment advisers, broker-dealers, investment companies, clearing...more

Seward & Kissel LLP

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

Seward & Kissel LLP on

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 Proposed Rule would require registered...more

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