Investment Adviser Code of Ethics | Practical Law

Investment Adviser Code of Ethics | Practical Law

This Note discusses the requirements that investment advisers registered under the Advisers Act adopt a code of ethics addressing the firm's standards of conduct and the personal trading activities of its associated persons. It also discusses the obligations of certain persons associated with the investment adviser to report their securities holdings and transactions to the firm, compliance procedures for meeting the adviser's obligations under the Advisers Act and its recordkeeping requirements.

Investment Adviser Code of Ethics

Practical Law Practice Note w-000-5515 (Approx. 9 pages)

Investment Adviser Code of Ethics

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Note discusses the requirements that investment advisers registered under the Advisers Act adopt a code of ethics addressing the firm's standards of conduct and the personal trading activities of its associated persons. It also discusses the obligations of certain persons associated with the investment adviser to report their securities holdings and transactions to the firm, compliance procedures for meeting the adviser's obligations under the Advisers Act and its recordkeeping requirements.