The SEC Proposes New Oversight Requirements for Third Parties
The Securities and Exchange Commission (SEC) unveiled protective new proposals in October 2022 which would affect all investment firms that outsource certain functions or services to third party contractors.
Good Data Hygiene Supports the new SEC Marketing Rules
The Securities and Exchange Commission (SEC) has upgraded forty-year-old rules that affect investment advisors’ (RIAs’) marketing communications to help prevent fraud. The aim of the new rules is to adapt them to modern digital advertising media and clarifying relationships.