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SEC Proposes to Require Registered Investment Advisers to Implement a Comprehensive Oversight Framework for Service Providers | Morrison & Foerster LLP

On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the “Vendor Oversight Rule” or the “Rule”) to prohibit investment advisers registered.

Client servicesService providerInvestment companyService providersA service provider oversightMorrison foersterExchange commissionMorrison foerster llpSee oversight of service providersInvestment advisers actVendor oversight ruleProposing releaseVendor oversightCovered functionsCovered functionCategories identified

SEC Proposes New Rule Requiring Investment Adviser Oversight of Certain Third Party Service Providers | Sullivan & Worcester

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.

Exchange commissionInvestment advisers actProposing releaseFederal registerRecords ruleAdvisers actInvestment advisers

SEC Proposes Mandated Swing Pricing, Hard Close and Fundamental Changes to Liquidity Rule | Dechert LLP

The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company liquidity risk management and swing pricing..

United statesDechert onpointOlivia seditaMykel skinnerExchange commission onEnd fund liquidity risk management programsLiquidity service providersSeeinvestment company swing pricingSeeinvestment company liquidity risk management programsEnd fund liquidity risk managementSeemoney market fund reformsSwing pricing administrationExchange commissionDechert newsflashMandate swing pricingProposing release

MIL-OSI USA: Outsourcing Fiduciary Duty to the Commission: Statement on Proposed Outsourcing by Investment Advisers

MIL-OSI USA: Outsourcing Fiduciary Duty to the Commission: Statement on Proposed Outsourcing by Investment Advisers
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Division of examinationsAdvisers actInvestment adviser actInvestment managementRisk analysisEvolving compliance environmentExamination focus areasRegional seminarsProposing release

Burying The Technologically Primitive WORM: Open Meeting On Broker-Dealer Electronic Recordkeeping Requirements, SEC Commissioner Hester M Peirce,Oct 12, 2022

<p><span>The Commission finally is considering the adoption of a rule that will allow broker-dealers</span><span> to retire the antiquated systems using CD-ROMs or other similar write-once-read-many (or, appropriately primitive, WORM) technology that our current rules require.</span></p>

Financial services roundtableExchange act relInternational swapsDerivatives associationSecurities exchangeFutures industry associationExchange actSecurities exchange actProposed amendmentsFinal ruleProposing releaseBroker dealer recordsAmend exchange act rule

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