Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers

02/10/2015 01:00 p.m. - 03:00 p.m. PST

Investment Management

Kelley A. Howes

Kelley A. Howes


Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.

After attending this course, attendees should be able to:

  • Explain and implement the requirements of SEC Rule 204A-1: Investment Adviser Codes of Ethics
  • Implement processes to effectively monitor and control personal securities trading by adviser personnel to avoid potential conflicts and possible ethics violations
  • Draft required Form ADV ethics disclosure and maintain required recordkeeping
  • Administer and tailor a code of ethics for your firm to address potential risk areas such as SEC political contributions requirements, gifts and whistleblower policies.

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