Investment Management Operations21
17 CFR § 270.12b-1 · 17 CFR § 270.17j-1; 17 CFR § 275.204A-1 · 17 CFR § 270.18f-4 · 17 CFR § 270.22e-4 · 17 CFR § 270.2a-5 · 17 CFR § 270.30b1-5; Form N-PORT · 17 CFR § 270.38a-1 · 17 CFR § 270.38a-1; SEC Guidance · 17 CFR § 275.206(4)-2 · 17 CFR § 275.206(4)-2(a)(4) · 17 CFR § 275.206(4)-6 · Investment Advisers Act § 206; SEC Guidance · Investment Company Act § 10; SEC Guidance · Investment Company Act § 15(c) · Investment Company Act § 17(a); 17 CFR § 270.17d-1 · Investment Company Act § 18 · Investment Company Act § 22; 17 CFR § 270.22c-1 · Investment Company Act § 36(b); Investment Advisers Act § 206 · Investment Company Act § 8; Form N-CEN · Securities Exchange Act § 28(e)
Requirements in this framework
- Affiliated Transaction Restrictions
- Annual Surprise Examination
- Best Execution Obligation
- Borrowing and Leverage Limits
- Code of Ethics and Personal Trading
- Custody Rule Requirements
- Derivatives Risk Management Program
- Distribution Fees and 12b-1 Plans
- Fair Value Determination
- Fee Billing and Expense Accuracy
- Fund Board Governance and Oversight
- Fund Compliance Program and CCO
- Fund Registration and Reporting
- Investment Advisory Contract Approval
- Liquidity Risk Management Program
- Net Asset Value Calculation
- Portfolio Holdings Disclosure
- Proxy Voting Responsibilities
- Service Provider Oversight
- Soft Dollar Arrangements
- Trade Allocation Fairness