Page 25 - 期货和衍生品行业监管动态（2022年6月）

期货和衍生品行业监管动态

of Index Providers, Model Portfolio Providers, and Pricing Services

Commission Seeking Public Comments Regarding “Information Providers”

Acting as “Investment Advisers” (2022/6/15)

The Securities and Exchange Commission today announced that it is requesting

information and public comment on matters related to the activities of certain

“information providers,” including whether, under particular facts and circumstances,

information providers are acting as “investment advisers” under the Investment

Advisers Act of 1940 (“Advisers Act”). The Request specifically focuses on index

providers, model portfolio providers, and pricing services.

“In recent decades, the use of information providers has grown, changing the

asset management industry,” said SEC Chair Gary Gensler. “The role of these
information providers today raises important questions under the securities laws as to

when they are providing investment advice rather than merely information. In order to
help the Commission determine when—and under what facts and

circumstances—these providers are giving investment advice, the Commission seeks

information and public comment to help guide our approach.”

Investment adviser status has regulatory implications, including questions related

to registration under the Advisers Act and questions under the Investment Company

Act of 1940. The Request will facilitate consideration of whether regulatory action is

necessary and appropriate to further the Commission’s mission.

The Request will be published on SEC.gov and in the Federal Register. The

public comment period will remain open for 60 days following publication of the

Request on the SEC’s website or 30 days following publication of the Request in the

Federal Register, whichever period is longer.

https://www.sec.gov/news/press-release/2022-109

7. 美国联邦法院判令加州公民为商品基金欺诈行为支付 60 余万美元

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