Nicholas Pension Consultants
Compensation Strategies Group, Ltd.
Nova 401(k) Associates
“BenefitsLink continues to be the most valuable resource we have at the firm.”
-- An attorney subscriber
|Text of Proposed SEC Reg Requiring Investment Advisers to Adopt a Code of Ethics (PDF)|
U.S. Securities and Exchange Commission [SEC]
Jan. 27, 2004
18 pages. Excerpt: The Commission is proposing for comment a new rule and related rule amendments under the Investment Advisers Act of 1940 that would require registered advisers to adopt codes of ethics. The codes of ethics would set forth standards of conduct expected of advisory personnel, safeguard material nonpublic information about client transactions, and address conflicts that arise from personal trading by advisory personnel.
|Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the link above).|
|An important word about authorship: BenefitsLink® is providing a hypertext link to the item shown above, but is not the author of the item (unless otherwise specified).|