SEC Chairman Gensler favors IA outsourcing proposal

"Today’s proposed rules take a principles-based approach to defining covered functions as a service that is necessary to provide advisory services and would materially harm an adviser’s clients or ability to serve clients if it were not performed or performed negligently"

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


New to Regulatory Compliance Watch?

Register now to read this article and more for free.