Code of Ethics

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. ...

Nearly all advisers don’t place a limit on the number of personal trades staff can make annually. The typical holding period – for firms that ...

With the month’s end in sight, the clear majority of advisers are putting the final touches on their amended Form ADV. One of those final ...

This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Investment company Act addresses the ...

If you’re a compliance officer for a fund adviser, chances are you’re well aware a gifts and entertainment policy should be in your code of ...

Whatever the Financial Stability Oversight Council’s next move is toward regulating asset managers, it will be aided by comments from the industry, says Karen Barr, ...

(a) Definitions. For purposes of this section: (1) Access person means: (i) Any Advisory Person of a Fund or of a Fund's investment adviser. If ...

Change may be coming to FINRA’s public communications and gifts, gratuities and non-cash compensation rules. The SRO has issued two retrospective rule review reports assessing ...

This report addresses the assessment phase of FINRA's retrospective review of its gifts, gratuities and non-cash compensation rules. The review is part of an ongoing ...