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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.…

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Posted in Tech & Outsourcing, Uncategorized

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