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Code of Ethics Rules for Investment Advisers

Every SEC-registered adviser must adopt and enforce a written code of ethics under Rule 204A-1. It must set a standard of business conduct, require compliance with the federal securities laws, cover personal trading by access persons, require prompt internal reporting of violations, and require each supervised person to acknowledge receiving it.

The code sits alongside the firm's Section 204A policies on material non-public information, and is usually where firms put gifts, outside business activities and political contributions too.

Guides

Policy templates

1 document on code of ethics, ordered by legal weight