Instituting a Code of Ethics and Personal Trading Policies | Wolters Kluwer Financial Services OneSumX
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OneSumX for Compliance

  • WP-IARegistrationInstitutingACodeOfEthicsAndPersonalTradingPolicies-ThumbnailBy Carol Beckett, Compliance Manager - Securities Investment Compliance Solutions, Wolters Kluwer Financial Services

    The Investment Advisers Act of 1940 requires each federally registered investment adviser to adopt and maintain a written Code of Ethics.