Tag: Code of Ethics

SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs

Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert identifying the most common deficiencies identified in examinations of RICs and providing observations with respect to money market funds and target date funds. With respect … Continued

Code of Ethics: SEC Focus Shifts Radar to Retail Firms

Each investment adviser’s Code of Ethics and other compliance policies set forth the standards of business conduct to which supervised persons must adhere. The challenge can often be monitoring compliance with the policies and assisting supervised persons with understanding their responsibilities. CCOs should put themselves in the SEC’s position – review your Code of Ethics (“Code”) … Continued


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