SEC Investment Adviser Fiduciary Duty — Advisers Act of 1940 (Duty of Care & Loyalty)

SEC Investment Adviser Fiduciary Duty — Advisers Act of 1940 (Duty of Care & Loyalty) — 100% of in-scope requirements covered.

4 requirements · 4 in scope (4 enforced). The 100% is weighted over the in-scope base.

SEC Investment Adviser Fiduciary Duty: requirement → the KYE™ artefact that enforces it

Demo data

You learn: Which requirements KYE™ enforces at runtime and with which artefact. You can: Walk the requirements.

  1. duty-of-care-best-interest · enforced

    Duty of care (reasonable belief best interest): an AI-generated decision proceeds only under recorded named…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 36 governedui

  2. duty-of-loyalty-conflicts · enforced

    Duty of loyalty (conflicts & disclosure): a consequential action's conflict / mandate basis is recorded…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 12 purpose permission

  3. suitability-mandate-of-advice · enforced

    Suitability / mandate of advice: the suitability basis is recorded as a mandate check before the action

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 25 edge governance

  4. books-and-records-204-2 · enforced

    Books & records (Rule 204-2): replay-provable provenance of the basis on which an AI-assisted decision…

    Rule packs: kye:rule-pack:investment-decision-authority · Constitution: 13 resilience loop

How this widget is built
Demonstrates
KYE™ Compliance Mapping Rail™
Components
  • Framework requirement (clause)
  • Coverage status
  • KYE™ enforcement artefact (event, decision-record field, Evidence Pack™ entry)
Flow
Clause → status → the KYE™ artefact that enforces it, enforced requirements first. Architecture diagram
Used on

Source: Section 206 of the US Investment Advisers Act of 1940 and the SEC's 2019 Commission Interpretation Regarding Standard of Conduct for Investment Advisers establish a federal fiduciary duty for registered investment advisers — a duty of care (including a reasonable belief that advice is in the client's best interest) and a duty of loyalty — together with the books-and-records rule (Rule 204-2). KYE Protocol™ governs whether an AI-assisted investment decision/action is within mandate, authorised, evidenced, contestable, and final at the action boundary, and proves the basis. KYE™ does not produce investment intelligence, form the reasonable belief itself, judge whether advice is correct, or act as an investment adviser. · License: The Investment Advisers Act of 1940 and SEC interpretive releases are US federal law / public documents. KYE™ registry cites the fiduciary-duty constructs for mapping purposes only.

By category

CategoryReqsEnforcedDesignedAdvisoryDeferredCoverage
Duty of care — reasonable belief best interest11000100%
Duty of loyalty — conflicts & disclosure11000100%
Suitability / mandate of advice11000100%
Books & records (Rule 204-2)11000100%

Every requirement → the KYE™ artefact that enforces it

IDTitleStatusKYE™ enforcement
sec-ia-fiduciary.duty-of-care-best-interestDuty of care (reasonable belief best interest): an AI-generated decision proceeds only under recorded named authorityenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/36-GOVERNEDUI.md
sec-ia-fiduciary.duty-of-loyalty-conflictsDuty of loyalty (conflicts & disclosure): a consequential action's conflict / mandate basis is recorded before it proceedsenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/12-PURPOSE-PERMISSION.md
sec-ia-fiduciary.suitability-mandate-of-adviceSuitability / mandate of advice: the suitability basis is recorded as a mandate check before the actionenforcedrule_packs: kye:rule-pack:investment-decision-authority
constitution_refs: constitution/25-EDGE-GOVERNANCE.md
sec-ia-fiduciary.books-and-records-204-2Books & records (Rule 204-2): replay-provable provenance of the basis on which an AI-assisted decision proceededenforcedrule_packs: kye:rule-pack:investment-decision-authority
dictionaries: internal
constitution_refs: constitution/13-RESILIENCE-LOOP.md

Canonical KYE™ surfaces referenced on this page: KYE Protocol™.