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Code of Ethics

A peer shares her firm's code of ethics and personal trading policy
Take some ideas from one of your peer's gifts and entertainment policies
The book’s sample fiduciary code of ethics is built around seven provisions
Because violations can range from forgetting to get a personal trade pre-cleared to engaging in insider trading, “you have to have a range of punishments”
Private fund advisers struggle with conflicts of interest, fees and expenses and putting together the right P&Ps to mitigate the risk of material, non-public information ...
This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego
A peer shares this document
A sample code of ethics
This is AllianceBernstein's COE.
And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...
This is a code of ethics for an investment advisory firm.
With the SEC mired in figuring out whether to clarify fiduciary duty standards, the agency may wish to consider one hiding in plain sight. The ...
If your firm pays a radio station to run an ad, you better tune in.   That’s one lesson from the SEC enforcement action against ...
This matter involves violations of the Advisers Act and certain rules thereunder by CPI, a registered investment adviser, that: (i) distributed hundreds of radio advertisements ...
BGC deleted audio files for the recorded lines of eight registered representatives that were responsive to requests from the Commission staff for these records. As ...
A peer shares a one-page primer aimed at helping staff understand their responsibilities under the firm's personal trading section of its code of ethics.
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
You can call them virtual, digital or alternative currencies but more and more people refer to them as cryptocurrencies and see them as one thing: ...
Mohammed Ali Rashid routinely delegated to his assistant the filing of his monthly expense reimbursement forms at the private equity fund adviser Apollo Management ($46B ...
You’ll find “chief compliance officer” listed only five times within Advisers Act rules – four of these references are found within the codes of ethics ...
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