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Investment Adviser MNPI Compliance Issues

April 26, 2022

The Division of Examinations (“EXAMS”) is issuing this risk alert to provide investment advisers, investors, and other market participants with information concerning notable deficiencies that the staff has cited related to Section 204A (“Section 204A”) of the Investment Advisers Act of 1940 (the “Advisers Act”) and Rule 204A-1 (the “Code of Ethics Rule”) thereunder.  Deficiencies related to Section 204A and the Code of Ethics Rule have been among the most commonly observed by EXAMS.

View the Risk Alert: Investment Adviser MNPI Compliance Issues

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