Tag: Due Diligence
IAA Submits Second Letter Calling for Changes to SEC Outsourcing Proposal
The IAA has submitted a supplemental comment letter calling for substantial changes to the SEC’s service provider oversight, or outsourcing, proposal.
April 20, 2023
Tags: Compliance Rule, Due Diligence, Oversight, Service Providers
SEC Proposes Service Provider Oversight Requirements for Investment Advisers
Our initial take: the proposed rules are overly burdensome and prescriptive, fail to recognize how little leverage firms have over many service providers, and provide an unrealistic compliance period.
October 27, 2022
Tags: Due Diligence, Oversight, Service Providers, Vendors
First of Two IAA Letters on the SEC’s Outsourcing Proposal Filed
The IAA submitted a comment letter to the SEC reflecting our general views on the recent adviser outsourcing proposal. Our comments were developed with the input of our dedicated member workstream that is focusing on this proposal. We have significant concerns with the proposal and have urged the SEC not to move forward and instead to consider alternative approaches to achieve its goals.
January 02, 2023
Tags: Due Diligence, Outsourcing, Oversight, Service Providers, Vendors
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