Code of Ethics Compliance Guidebook
This Guidebook provides a reference to the rules governing investment adviser and mutual fund codes of ethics under Investment Adviser Act Rule 204A-1 (17 CFR 275.204A-1) and Investment Company Act Rule 17j-1 (17 CFR 270.17j-1). While the rules for advisers and funds are quite similar, there are differences. To make comparisons between the two types of code easier, rules are presented side-by-side; differences may also be highlighted in section summaries.
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