US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275)
What is US Investment Advisers Act of 1940 and SEC Adviser Rules (17 CFR Part 275)?
The federal regime for investment advisers in the United States: who must register with the SEC or the States, the Form ADV, brochure and relationship summary disclosures, five-year books and records, insider trading procedures and the code of ethics for access persons, the limits on performance fees and assignment of advisory contracts, the antifraud provisions with their principal-trade consent requirement and the marketing, custody, pay-to-play, proxy voting, compliance programme and pooled vehicle rules, and the fiduciary duties of care (best-interest advice, best execution, monitoring) and loyalty (full and fair disclosure of conflicts and informed consent) as the Commission interprets them. It comprises 23 controls organised across 5 domains, and applies in the United States.
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