In an annual report, the SEC Division of Examinations identified current risks for investors and registrants and highlighted key areas for examination in 2024.
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Several trade associations highlighted concerns about an SEC proposal to establish minimum standards for investment advisers before outsourcing certain services or functions.
Comments on an SEC proposal to establish minimum standards for outsourcing investment advisory services and related form amendments are due by December 27, 2022.
The SEC proposed a new rule establishing minimum standards that investment advisers would be required to meet prior to outsourcing certain services or functions.
The SEC reopened the comment periods for proposals to (i) expand the scope of Regulation ATS and (ii) expand regulation of private fund advisers. As outlined in a notice in the Federal Register, comments for both proposals are now due by June 13, 2022.