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⍰ ASK How are investment companies regulated to protect investors?

cryptohunter

cryptohunter

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The SEC oversees investment firms in the US, ensuring rules set by the 1940 Investment Company Act are followed. Companies share key details in a prospectus, covering goals, fees and risks for investor protection.

Limits on transactions with affiliates prevent conflicts. Audits by independent accountants ensure financial transparency. Managers must act in investor best interests following fiduciary duties.

The SEC checks compliance through inspections. Independent boards evaluate management.
 

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