CODE OF ETHICS. B. Advisers Act. The term Advisers Act means the Investment Advisers Act of 1940, as amended.
Full text
Related documents
Name: Christopher Joe Title: Chief Compliance Officer Invesco Investment Advisers, LLC By: /s/ Miranda O'Keefe. Name: Miranda O'Keefe Title: Chief Compliance Officer
– Continued focus on failure to adopt and implement compliance policies or to conduct annual compliance reviews under Advisers Act Rule 206(4)-7. – Chief compliance officers
4 Custody of Funds or Securities of Clients by Investment Advisers, Investment Advisers Act Release No. Under the amended rule, advisers with custody of client assets were required
This presentation was prepared by Fund Evaluation Group, LLC (FEG) − an investment adviser registered under the Investment Advisers Act of 1940, as amended −
(Required for fund advisers). The IAA recommends that non-fund advisers require access persons to disclose all securities accounts to the chief compliance officer or other
(1) willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940,
Section 203(e) of the Investment Advisers Act of 1940, as amended (the “Advisers Act”), states, in part, that the Securities and Exchange Commission (the “SEC”) may
WHEREAS, the Advisor is an investment adviser registered under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) and has been retained by Touchstone Strategic