US Investment Advisers Act — Fiduciary Duty, Marketing & Disclosure
Adviser fiduciary duty of care and loyalty, the Marketing Rule, Form ADV brochure disclosure and delivery, books and records, proxy voting, pay to play, principal and agency cross trades, and the Rule 3a-4 safe harbour for model and wrap programmes.
- Issued by
- US Securities and Exchange Commission
- Applies in
- United States
- Edition
- IA-5248 (2019); Marketing Rule effective 2021
- 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.
- IA-5248Fiduciary duty of care and loyalty, with full and fair disclosure of conflictsConduct
- 206(4)-1Advertisements comply with the Marketing Rule's prohibitions, testimonial and performance conditionsMarketing
- 204-1Form ADV kept current through annual and prompt interim amendmentsDisclosure
- 204-3Brochure and brochure supplements delivered initially and annuallyDisclosure
- 204-2Required books and records maintained and retainedRecords
- 206(4)-6Proxy voting policies, client disclosure and voting recordsStewardship
- 206(4)-5Pay-to-play restrictions on political contributions and solicitorsConduct
- 206(3)Principal and agency cross transactions disclosed and consented toTrading
- 3a-4Model and wrap programmes meet the Rule 3a-4 individualised-management conditionsProducts
How Amoreg keeps you on it.
Enable the US Investment Advisers Act — Fiduciary Duty, Marketing & Disclosure 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 9 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 9 requirements
- Open findings with drafted fixes
- Wait for a person to decide
Policy does not yet set out: fiduciary duty of care and loyalty, with full and fair disclosure of conflicts
- Rule
- US Investment Advisers Act — Fiduciary Duty, Marketing & Disclosure, IA-5248
- Area
- Conduct
- 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 — Fiduciary Duty, Marketing & Disclosure?
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 — Fiduciary Duty, Marketing & Disclosure?
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 IA-5248 (2019); Marketing Rule effective 2021. Editions were last verified in August 2026, and the Monitor records new publications as they appear.