What US 17 CFR 275.206(4)-7 (Investment Advisers Act Rule 206(4)-7): Compliance Procedures and Practices requires
Rule 206(4)-7 under the Investment Advisers Act of 1940 makes it unlawful, within the meaning of section 206, for a registered investment adviser to provide investment advice to clients unless it adopts and implements written policies and procedures reasonably designed to prevent violation of the Act and its rules, reviews their adequacy and the effectiveness of their implementation no less frequently than annually, and designates a chief compliance officer who is a supervised person to administer those policies and procedures. The rule is the foundation of the adviser compliance-program regime enforced by the SEC.
Pillar: Banking & Global Finance · Authority: US Securities and Exchange Commission (SEC) · Version: 1.0.0 · Last updated:
Primary source: https://www.ecfr.gov/current/title-17/part-275
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Primary Citations — 7 traced to source
- US 17 CFR 275.206(4)-7: Compliance procedures and practices
- 275.206(4)-7: If you are an investment adviser registered or required to be registered under section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b-3), it shall be unlawful within the meaning of section 206 of the Act (15 U.S.C. 80b-6) for you to provide investment advice to clients unless you:
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