17 CFR 275.204a-1 - Investment adviser codes of ethics
| Cite as | 17 CFR 275.204a-1 |
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35 practice notes
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Part III
...fiduciary duties under the Act. \171\ See Section II.B.4 of this Release. \172\ Rule 206(4)-6 [17 CFR 275.206(4)-6]. \173\ Rule 204A-1 [17 CFR 275.204A-1]. \174\ See Section II.B.2 of this Benefits to Mutual Fund Investors Mutual fund investors would benefit from hedge fund adviser registra......
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List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act
...on small entities or the Regulatory Flexibility Act Certification. * * * * * Title: Investment Adviser Codes of Ethics. Citation: 17 CFR 275.204A-1; 17 CFR 275.204-2; 17 CFR 279.1; 17 CFR Authority: 15 U.S.C. 77s(a), 77sss(a), 78a-37(a), 78w(a), 78bb(e)(2),79w(a), 80a-17(j), 80a-37(a), 80b-......
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Investment advisers:
Hedge fund advisers; registration,
...fiduciary duties under the Act. \171\ See Section II.B.4 of this Release. \172\ Rule 206(4)-6 [17 CFR 275.206(4)-6]. \173\ Rule 204A-1 [17 CFR 275.204A-1]. \174\ See Section II.B.2 of this Benefits to Mutual Fund Investors Mutual fund investors would benefit from hedge fund adviser registra......
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Part IV
...offshore adviser must, of course, comply with all of the Advisers Act and our rules with respect to any U.S. clients it may have. \222\ 17 CFR 275.204A-1. Definition of ``Private Because our concern is focused on hedge fund advisers and their oversight, we did not propose to require adviser......
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4 cases
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Belmont v. MB Inv. Partners, Inc., No. 12–1580.
...thus focuses on the avoidance or disclosure of conflicts of interest between the investment adviser and the advisory client. See17 C.F.R. § 275.204A–1 (describing the required investment adviser code of ethics, and its [708 F.3d 504]focus on conflicts of interest); cf. Capital Gains Researc......
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Stanley v. Schmidt, CIVIL ACTION NO. 16-cv-12647-DPW
...as "responsible for administering the policies and procedures" adopted under the regulation. 17 C.F.R. § 275.206(4)-7 ; see also 17 C.F.R. § 275.204A-1. Federal regulations promulgated under the 1940 Investment Company Act carry the same requirements. See 17 C.F.R. §...
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Wiggins v. Ing United States, Inc., CIVIL CASE NO. 3:14-CV-01089 (JCH)
...ethics," namely: "15 U.S.C. § 7264; 17 C.F.R. § 228.406(b)(4) & (5) and 17 C.F.R. § Page 11229.406(b)(4) & (5)); 15 U.S.C. § 80b-11; 17 C.F.R. § 275.204A-1." Id. ¶ 10.4 Then, the Amended Complaint identifies a number of sets of actions taken by ING employees and, for each set, states Wiggin......
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Sec. & Exch. Comm'n v. Aletheia Research & Mgmt., Inc., Case No. CV12-10692 JFW (RZx)
...violating, directly or indirectly, Section 204A of the Advisers Act, 15 U.S.C. § 80b-4A, and Rule 204A-1(a) promulgated thereunder, 17 C.F.R. § 275.204A-1(a).V. IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay disgorgement of ill-gotten gains, prejudgment interes......