Rule 204A-1 under the Advisers Act requires investment advisers to adopt a code of ethics. Adoption means establish, maintian and enforcing a written code. At a minimum, the code must include: (1) A standard (or standards) of business conduct that you require of your supervised persons, which standard must reflect your fiduciary obligations and those … Read more »
Category: Investment Advisers Act
Information for Newly-Registered Investment Advisers
The Staff of the Securities and Exchange Commission’s Division of Investment Management and Office of Compliance Inspections and Examinations put together an information overview for Newly-Registered Investment Advisers. It is intended to assist newly-registered investment advisers in understanding their compliance obligations with respect to these provisions. This information sheet also provides information about the resources … Read more »