You Created a Code of Ethics, But Did You Disclose It?

May 29, 2005

Is your firm’s new Code of Ethics described in your ADV Part II? Does your ADV Part II allow clients to request a copy of the Code of Ethics? This is an item that some investment advisors have overlooked. The recently effective SEC Rule 204A-1 requires all SEC registered firms to include a summary of the Code of Ethics in the Form ADV Part II, and, upon request, to provide a complete copy of the code of ethics to advisory clients.

Posted by Bryan Hill
Labels: Code of Ethics