Dinyatakan bahwa kepentingan publik nasional dan kepentingan investor dirugikan apabila perusahaan investasi dibentuk, dijalankan, atau dikelola demi kepentingan direktur, pejabat, atau pihak terafiliasi lain alih-alih kepentingan pemegang saham; Undang-Undang ini dimaksudkan untuk mengurangi dan menghapus kondisi itu.
It is declared that the national public interest and the interest of investors are adversely affected when investment companies are organized, operated, or managed in the interest of directors, officers, or other affiliated persons rather than in the interest of shareholders; this Act is intended to mitigate and eliminate those conditions.