Investment Advisers Act 1940: Federal law that regulates investment advisers and their activities, crucial for sub-management agreements involving investment management services
Investment Company Act 1940: Federal law governing mutual funds and investment companies, essential if the sub-management agreement involves mutual fund management
Securities Exchange Act 1934: Federal law regulating secondary trading of securities and establishing the SEC, relevant for securities-related management activities
Securities Act 1933: Federal law governing the initial offering and sale of securities, important for sub-management agreements involving securities
Dodd-Frank Act: Comprehensive financial reform legislation affecting financial services and management, including requirements for investment advisers
ERISA: Employee Retirement Income Security Act - crucial if the sub-management agreement involves pension fund management
Blue Sky Laws: State-specific securities regulations that must be considered alongside federal securities laws
State Corporate Laws: State-specific laws governing corporate formation, operation, and management
AML Regulations: Anti-Money Laundering regulations requiring specific compliance procedures and reporting
KYC Requirements: Know Your Customer requirements for verifying and monitoring client identities and activities
FATCA: Foreign Account Tax Compliance Act requirements for reporting foreign financial accounts and assets
State Privacy Laws: State-specific regulations governing data protection and privacy requirements
FINRA Rules: Financial Industry Regulatory Authority rules governing broker-dealers and investment activities
Fair Labor Standards Act: Federal law establishing standards for employment relationships, relevant for management structure and staffing
