Statements (18)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
securities regulation
|
| gptkbp:adoptedBy |
gptkb:U.S._Securities_and_Exchange_Commission
2004 |
| gptkbp:appliesTo |
registered investment advisers
|
| gptkbp:citation |
gptkb:17_CFR_§_275.204A-1
|
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| https://www.w3.org/2000/01/rdf-schema#label |
SEC Rule 204A-1
|
| gptkbp:partOf |
gptkb:Investment_Advisers_Act_of_1940
|
| gptkbp:purpose |
to prevent fraudulent, deceptive, or manipulative acts
|
| gptkbp:requires |
access persons to report holdings
investment advisers to adopt a code of ethics pre-approval of certain investments prompt reporting of violations recordkeeping of code of ethics and reports reporting of personal securities transactions distribution of code of ethics to supervised persons |
| gptkbp:bfsParent |
gptkb:Investment_Adviser_Regulation
|
| gptkbp:bfsLayer |
6
|