Investment Adviser Codes of Ethics: The Rule, Plus Pay to Play, Gifts and Whistleblowers
August 28, 2013
Morgan Lewis associate John J. O'Brien presented, "Investment Adviser Codes of Ethics: The Rule, Plus Pay to Play, Gifts and Whistleblowers," for the National Regulatory Services Webinar.
- Explain and implement the requirements of Securities and Exchange Commission (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 Pay-to-Play requirements, gifts and whistleblower policies