Rule 204A-1 under the Advisers Act (the “Code of Ethics Rule”) requires that all SEC-registered investment advisers establish, maintain and enforce a written Code of Ethics.
Last week, HedgeOp Compliance CEO Bill Mulligan conducted a seminar entitled: Code of Ethics Compliance: Understanding the Rule and Building an Infrastructure as part of HedgeOp’s Excellence in Compliance Seminar Series.
This seminar was focused on helping advisers overcome the burden of the Code of Ethics Rule by teaching about the specific provisions and reporting requirements that must be adhered to. Additionally, the seminar looked at how innovative technology can help automate many aspects of the Code of Ethics Rule and cut down on your paperwork. This seminar is not only geared towards SEC-registered managers, but also unregistered managers who have implemented (or want to implement) a Code of Ethics as a form of “best practice.”
You can watch the seminar and download the presentation materials below.
Download Presentation Materials
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