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Will Atherton

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SEC proposal on outsourcing by investment advisers

By Howard Womersley Smith, Will Atherton & Kile Marks on 9 November 2022

On October 26, 2022, the Securities and Exchange Commission (SEC) issued a new rule proposal that would prohibit registered investment advisers (IAs) from outsourcing certain services without satisfying due diligence, monitoring and reassessment requirements.Continue Reading SEC proposal on outsourcing by investment advisers

Posted in Tech & Outsourcing

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