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Industry Spotlight > RIAs

Ethics and the RIA

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If you are an RIA, the Securities & Exchange Commission says that you must have a code of ethics covering your trading policies. Some advisory firms, however, have gone well beyond trading in their ethics codes.

One such firm is Austin Capital Management in Austin, Texas. Jim Owen, the firm’s founder and author of the recently published book, Cowboy Ethics, was the subject of the “Final Word” column in the March 2004 issue of Investment Advisor. Owen and his colleagues agreed to share their firm’s code of ethics, which you can view or download by clicking here.