Code of Ethics

This is a sample annual employee questionnaire, which comes courtesy of Core Compliance & Legal Services in San Diego

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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 ...