Sets regulatory requirements for publicly offered investment companies, including governance, capital structure, and operational restrictions. Applies to mutual funds, closed-end funds, unit investment trusts, and their advisers.
194
Rules extracted
2,456
Obligations decomposed
12.7x
Avg obligations per rule
🇺🇸 United States
Jurisdiction
Source
1
Regulation
Extracted
194
Rules
Decomposed
2,456
Obligations
Decomposition ratio
Each rule is decomposed into an average of 12.7 atomic obligations — the smallest testable units that can be independently violated.
Fully extracted & scored
All 2,456 obligations have been decomposed, titled, risk-scored, and embedded for semantic matching.
Every obligation in Investment Company Act Rules is scored across independent risk dimensions:
Obligation Weight
How critical within the regulatory framework
Violation Likelihood
How often breached in practice
Enforcement Evidence
Regulator enforcement history and penalties
Cascade Dependency
How many obligations depend on this one
Don't have a compliance policy yet? AuditDSS generates a complete compliance pack for Investment Company Act Rules — alone or combined with other regulations your business needs. Every clause is mapped to specific obligations.
High-level commitments and governance framework covering Investment Company Act Rules requirements.
Step-by-step operational procedures to implement each policy commitment.
Ready-to-use forms, registers, and checklists for day-to-day compliance operations.
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Your document is scored against every obligation in Investment Company Act Rules. Each claim is mapped to the obligation tree and evaluated for coverage.
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14 rules, 58 obligations
13 rules, 83 obligations
13 rules, 211 obligations
10 rules, 150 obligations
12 rules, 153 obligations
10 rules, 52 obligations
16 rules, 260 obligations
9 rules, 135 obligations
Upload your document and get a risk-scored gap analysis against 2,456 Investment Company Act Rules obligations in under 5 minutes.