Category: Open Call

Open Call: Outsourcing by Investment Advisers SEC Proposed New Rule 206(4)-11, and Amendments to Rule 204-2 and Form ADV

On October 26, 2022, the Securities and Exchange Commission (SEC) proposed new rule 206(4)-11 and rule amendments under the Advisers Act that prohibit SEC-registered investment advisers from outsourcing certain services or functions to service providers and third-party recordkeepers without meeting minimum due diligence and monitoring requirements. If adopted in its current form, the requirements would…  Read more

Open Call: How to Intern Successfully

If you are fortunate enough to have a college student or recent grad uate who is interested in obtaining an internship, we encourage them to listen to our latest STA Open Call. Featuring: Robert J. Khoury Founder & CEO Agile Rainmakers & Author of How to Intern Successfully Regardless of the desired field, obtaining an internship…  Read more

Open Call: Oursourced and Supplementary Trading Part One

Recent surveys show that more than one-third of asset managers see outsourced or supplementary trading relationships as a means to achieve operational efficiencies and a strategy to address the ever-changing regulatory and competitive landscapes. This episode is the first of two sessions on outsourced and supplementary trading and will cover three areas: An overview on…  Read more

Open Call: FinTech & Digital Assets: State of Play

On March 30, 2022, STA hosted its annual Washington DC Spring Update that featured various congressional members and business leaders. Among the topics discussed were the regulatory regime for FinTech companies and Digital Assets, and the need for congressional action. To help raise awareness and educate the broader industry, STA is pleased to provide a…  Read more

Open Call: SEC Proposed Amendments to Shorten the Settlement Cycle from T+2 to T+1

To help raise awareness and educate the broader industry on the Securities and Exchange Commission (SEC) proposed rules that would shorten the settlement cycle from two business days (T+2) to one business day after trade date (T+1), STA is pleased to provide a recorded Open Call that features subject matter experts from the Depository Trust…  Read more