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Code of Ethics

From about February 2008 to about March 2012, Bennett provided an employee of a proxy solicitation firm with nonpublic information about ISS clients in exchange ...
When the SEC releases three enforcement cases on the same day – tied to the same issue – you know a message is being sent. ...
GPIM breached its fiduciary duty by failing to disclose that one of its senior executives approached an advisory client and received a $50 million loan ...
Parallax, an investment adviser registered with the Commission from March 2010 to November 2012, willfully violated the principal transaction prohibitions and the custody and compliance rules ...
This release from June 2015 recommends compliance staff dig deeper when determining that an access person's trading doesn't need review because it qualifies for an ...
You may wish to do more before deciding an access person’s personal trades don’t need to be reviewed because they supposedly fall under the code ...
From the SEC's Division of Investment Management
In an attempt to temper the tempest stirred by last February’s SEC Division of Investment Management guidance on registered fund gifts and entertainment (IA Watch, ...
IA Watch has learned that some industry groups are asking the SEC to come out with additional guidance about fund advisers and gifts and entertainment. ...
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