SEC Division of Investment Management
GPTKB entity
Statements (65)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:government_agency
|
| gptkbp:bfsLayer |
5
|
| gptkbp:bfsParent |
gptkb:Investment_Company_Act_of_1940
gptkb:Investment_Advisers_Act_of_1940 |
| gptkbp:addresses |
emerging issues
|
| gptkbp:analyzes |
industry trends
investment strategies market risks fund performance data compliance trends investment adviser practices |
| gptkbp:collaborates_with |
industry groups
other SEC divisions |
| gptkbp:conducts |
gptkb:psychologist
gptkb:Research_Institute workshops public consultations risk assessments surveys of investors |
| gptkbp:develops |
best practices
regulatory frameworks |
| gptkbp:enforces |
compliance with federal securities laws
|
| gptkbp:engages_in |
policy development
international cooperation rulemaking processes data collection efforts |
| gptkbp:facilitates |
stakeholder engagement
|
| gptkbp:focuses_on |
investment companies
investment advisers |
| https://www.w3.org/2000/01/rdf-schema#label |
SEC Division of Investment Management
|
| gptkbp:issues |
annual reports
rules and regulations staff reports no-action letters regulatory alerts interpretive guidance guidance updates guidance on ESG investing |
| gptkbp:monitors |
compliance programs
market developments fund fees and expenses |
| gptkbp:oversees |
mutual funds
exchange-traded funds |
| gptkbp:part_of |
gptkb:U._S._Securities_and_Exchange_Commission
|
| gptkbp:participates_in |
gptkb:public_outreach
|
| gptkbp:promotes |
investor protection
transparency in the investment industry |
| gptkbp:provides |
gptkb:Educational_Institution
gptkb:municipality technical assistance technical guidance information on regulatory changes commentary on proposed rules resources for compliance officers advice to the SEC commissioners insight on regulatory impacts |
| gptkbp:supports |
financial stability
financial literacy programs research initiatives. investor education initiatives diversity initiatives in finance |
| gptkbp:user_reviews |
disclosure documents
advisory contracts filings from investment companies |
| gptkbp:works_with |
state regulators
|