US Investment Advisers Act of 1940 — Compliance Program Rule
Written compliance policies, a chief compliance officer and an annual review for registered advisers.
- Issued by
- US Securities and Exchange Commission
- Applies in
- United States
- Edition
- Rule 206(4)-7
- Area
- Investment & funds
What an assessor reads first.
The headline requirements in Amoreg’s catalogue, in the issuer’s own numbering where it has one. They are where a review starts, not a transcription of the text.
- 206(4)-7Written compliance policies and proceduresProgramme
- CCOChief compliance officer designatedGovernance
- ANNAnnual review of adequacy and effectivenessAssurance
- 204ACode of ethics and personal tradingConduct
- 206(4)-2Custody ruleClient assets
How Amoreg keeps you on it.
Enable the US Investment Advisers Act of 1940 — Compliance Program Rule and add US Securities and Exchange Commission’s pages as a monitor of your own. Every publication it records keeps its source, stage and date.
Inspector reads your policies against these 5 requirements every week and opens a finding wherever one falls short, citing the rule and drafting the fix. A person decides what is applied.
Each week
- Read US Securities and Exchange Commission’s pages
- Check the library against 5 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: written compliance policies and procedures
- Rule
- US Investment Advisers Act of 1940 — Compliance Program Rule, 206(4)-7
- Area
- Programme
- Proposed by
- Inspector
- Decided by
- A named person, once reviewed
The same ground, elsewhere.
- AIFMD (as amended by AIFMD II)Authorisation, delegation, liquidity management, loan origination and reporting for alternative investment fund managers.European Union · 6 controls
- UCITS DirectiveRetail fund product rules: eligible assets, diversification, depositary, KIID/KID and remuneration.European Union · 5 controls
- EMIR — European Market Infrastructure RegulationClearing, reporting and risk mitigation for derivatives.European Union · 3 controls
- SFDR — Sustainable Finance Disclosure RegulationEntity and product-level sustainability disclosures for financial market participants.European Union · 5 controls
- MiCA — Markets in Crypto-Assets RegulationAuthorisation and conduct for crypto-asset service providers and issuers.European Union · 4 controls
- Guernsey Protection of Investors Law & Collective Investment Scheme RulesLicensing and conduct for investment business and the rules for authorised and registered schemes.Guernsey · 4 controls
Also in United States
- US Bank Secrecy Act / FinCEN AML ProgramBSA AML programme requirements: the pillars, CDD rule, SAR/CTR reporting and beneficial ownership.United States · 6 controls
- OFAC Sanctions Compliance ProgramThe five essential components of an effective sanctions compliance programme.United States · 5 controls
- US Foreign Corrupt Practices ActAnti-bribery and books-and-records provisions, assessed against the DOJ's Evaluation of Corporate Compliance Programs.United States · 4 controls
- GLBA Safeguards RuleThe information security programme financial institutions must maintain for customer information.United States · 5 controls
- NIST Cybersecurity Framework 2.0Six functions for managing cybersecurity risk, now including Govern.United States / Global · 6 controls
- NYDFS Cybersecurity Regulation (23 NYCRR 500)Cybersecurity requirements for DFS-licensed entities, with CISO, MFA, annual certification and 72-hour notice.United States — New York · 6 controls
Questions
Does Amoreg watch for changes to the US Investment Advisers Act of 1940 — Compliance Program Rule?
Enable it and add the issuer’s pages as a monitor of your own. Every publication the Monitor records keeps its source, stage and date.
Can Amoreg check our policies against the US Investment Advisers Act of 1940 — Compliance Program Rule?
Yes. Inspector reads your library against its requirements every week and opens a finding, with the rule it cites and a proposed fix, wherever a policy falls short. A person decides what is applied.
Which edition does Amoreg use?
The catalogue records Rule 206(4)-7. Editions were last verified in August 2026, and the Monitor records new publications as they appear.