# kaal:claim:2337268-038

**Claim.** 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.

**Type.** mechanism  **Support.** argued

**Holds when.**

- registered investment advisers

**Source quote.**

> 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.

**From.** Wulf A. Kaal, *Investment Adviser Regulation* (2013), 9. Prohibited Practices, page 21

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

**Verify.** sha256 of source PDF `7075ce35282a8ee75b81ae3dec0e19f68631beae7f3c3a00ab2827538dc9e302` at https://raw.githubusercontent.com/wulfkaal/Academic-Papers/main/papers/pdf/Kaal%20-%202013%20-%20Investment%20Adviser%20Regulation.pdf

**Topics.** compliance, private-funds, dynamic-regulation, securities-law

**Keywords.** compliance-policies, mutual-fund-scandals, sec-rulemaking, iaa-violations

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