Fund Regulation Ontology

This ontology doesn't define any tripples. It is a configuration of ontology includes: 1) The Investment Adviser Act rules ontology 2) Real adviser data from the Investment Adviser Firm SEC report 3) Made-up advisers to test exceptions 4) The schema for report and forn Investment Adviser Publis Disclosure Compilation Report. 5) Some OWL-2 DL extensions for Topbraid Composer Running the inference engine (reasoner) will set the regulated_as object properties for the adviser records.

The instances in this file populate FIBO Functional Business Entities and Monetary Amounts for assets under Management.

While the data file FR_IA_Firm_SEC.tll contains real Investment Adviser data, the advisers in this file are made up. The records populate FIBO Business Entity and related classes. The test data is constructed to trigger Investment Adviser Act exclusions, exceptions and prohibitions.

An abridged version of the SEC Investment Adviser Public Disclosure Report. The instance data file contains SEC Investment Adviser Report records for the 50 largest advisers as 5th November, 2016. This file instantiates the IAPD SEC Compilation Report schema ontology file.

The Ontology Web Language (OWL) version of the Securities and Exchange Commission's Investment Adviser Public Disclosure compilation report and form. The OWL structure underneath the class FirmReport is used in two ways: 1) Included in Investment Adviser instance data files (IA_Firm_SEC_Feed.ttl) 2) To create instances of form ADV for Semantic Compliance.

Defined classes and SPARQL rules to implement filing requirements under the Investment Adviser Act. The rules determine registration and filing requirements under United States Code (USC) 15 U.S. Code § 80b–2 - Definitions The rules are encoded as defined subclasses of LKIF-norm:Normatively_Qualified. There are 4 Financial Condition subclasses: 1) Defining Conditions 15 U.S. Code § 80b–2 11 2) Excluding Conditions 15 U.S. Code § 80b–2 11 A-H 3) Exempting Conditions 15 U.S. Code § 80b–3 (b) 1-7 4) Prohibiting Condition 15 U.S. Code § 80b–3a - State and Federal responsibilities and exceptions from prohibition Code of Federal Regulations (CFR) 17 CFR 275.203A-2

Investment Fund specific financial reference data. The ontology defines classes and properties for Investment Funds. For the Investment Adviser act we define form ADV and the Central Registration Depository Number. Classes and properties in this ontology extend FIBO.

The ontology defines legal classes and properties for Investment Funds. For the Investment Adviser act we define form ADV. Classes and properties in this ontology extend LKIF.