SEC NEWS AND SPEECHES—Risk Alert highlights invest - 09 May 2022
The most commonly observed deficiencies related to Section 204A and Rule 204A-1, the Code of Ethics Rule.
The SECs Division of Compliance has issued an alert to provide investment advisers, investors, and other market participants with information concerning deficiencies related to Section 204A of the Investment Advisers Act of 1940 and the Code of Ethics Rule, (Rule 204A-1), thereunder.
Section 204A and Rule 204A-1.All investment advisers,
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