Nicholas Ersoy

Nicholas Ersoy

K&L Gates LLP

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SEC Solicits Comments on Whether Index Providers, Model Portfolio Providers, and Pricing Services Are Investment Advisors: Seeking...

Introduction - On 15 June 2022, the Securities and Exchange Commission (SEC) issued a “Request for Comment on Certain Information Providers Acting as Investment Advisers” (Request)....more

7/5/2022  /  Asset Management , Broker-Dealer , Fiduciary Duty , Investment Adviser , Investment Company Act of 1940 , Investment Management , Securities and Exchange Commission (SEC)
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