Area of Focus for Your Annual Review: Code of Ethics
The annual review is one of the three (3) pillars of Rule 206(4)-7 (“the Compliance Rule”) of the Investment Advisers Act of 1940 (“the Advisers Act”).
Practical Tips for an Investment Adviser Code of Ethics
Michelle L. Jacko and Kris Gruben wrote the article titled Practical Tips for an Investment Adviser Code of Ethics which was published in the Thomson Reuters Accelus November 2011 issue. … Read More