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Major Overhaul of Resources for AI Proposal | Fred Teufel Insights

Vigilant Insights Brief Introduction The SEC’s rule proposal related to artificial intelligence (“AI”) and data analysis has made waves in the Registered Investment Adviser (“RIA”) industry. As firms […]

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New SEC Proposed Rule | RIA Protection of Customer Assets

SEC Releases Who Would This Affect? Registered Investment Advisers (“RIAs”) Qualified Custodians Brief Synopsis The SEC announced a Proposed Rule on February 15th to amend and redesignate rule 206(4)-2 of […]

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New SEC Proposal | Focus on Open-End Fund Liquidity

SEC Releases Brief Introduction On November 2nd, the SEC voted to propose amendments with the goal of preparing Open-Ended Funds for future stressed conditions. The management of […]

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SEC Proposes Rule for Outsourcing by Investment Advisers

SEC Releases Overview: Proposed Rule 206(4)-11 – Service Provider Oversight On October 27, 2022, the Securities and Exchange Commission (“SEC”) proposed Rule 206(4)-11 under the Investment Advisers […]

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