Articles Posted in Code of Ethics

On April 26, 2022, the Division of Examinations of the Securities and Exchange Commission issued a Risk Alert titled Investment Adviser MNPI Compliance Issues. The Alert identifies compliance issues relating to material non-public information – sometimes called “insider information” – and provides guidance to investment advisers, investors, and other market…

At this time of year, it is important for registered investment advisers to assure that they are in compliance with federal and/or state rules requiring them to monitor their supervised persons’ security holdings and transactions for compliance with the firm’s code of ethics. Even seasoned compliance professionals will encounter questions…