kaal:claim:2337268-038

The SEC mandated written compliance policies and procedures for investment advisers as a reaction to mutual fund industry scandals and in an effort to curb IAA violations.

Reacting to several scandals in the mutual fund industry and in an effort to curb violations of the IAA, the SEC has mandated the implementation of written policies and procedures for investment advisers,106 among other compliance measures.

Wulf A. Kaal, Investment Adviser Regulation (2013), 9. Prohibited Practices, p. 21
https://ssrn.com/abstract=2337268 · source PDF

Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268

• registered investment advisers

mechanismsupport: arguedcomplianceprivate-fundsdynamic-regulationsecurities-law

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