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Draft Code of Ethics for Registered Investment Adviser Under Rule 204A-1

Funds & Asset Managementcompliance-policyinvestment-advisers-actcode-of-ethicspersonal-tradingconflicts-of-interestSEC-registration

Instructions

Draft an adoption-ready Code of Ethics from the attached ten source files and prepare a cover memo summarizing key changes, flagging urgent issues, and listing open items. Output: `code-of-ethics-final.docx` and `cover-memo-to-prewitt.docx`.

Work type: Draft — Produce a legal document such as a contract, motion, or client letter.

Deliverables (2)

code-of-ethics-final.docx
cover-memo-to-prewitt.docx

Reference documents (10)

DOCX
cho-compliance-memo.docx
60.7 KB
Open
DOCX
existing-draft-code-of-ethics.docx
44.3 KB
Open
DOCX
form-adv-part2a-item11.docx
42.3 KB
Open
DOCX
info-barrier-notes.docx
41.1 KB
Open
EML
ir-due-diligence-requests.eml
6.5 KB
Open
DOCX
kang-onboarding-questionnaire.docx
44.9 KB
Open
PPTX
marketing-deck-compliance-section.pptx
48.2 KB
Open
DOCX
murakami-onboarding-questionnaire.docx
47.3 KB
Open
XLSX
personnel-roster-access-persons.xlsx
11.2 KB
Open
EML
yee-prewitt-email-personal-trading.eml
7.5 KB
Open

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Rubric (73)

Each criterion is judged independently as pass or fail. The task scores 1.0 only if every criterion passes.

73 of 73 criteria