The document outlines the Code of Ethics for iCapital Advisors, LLC, detailing employee investment restrictions, participation in client transactions, and conflicts of interest. Employees must obtain authorization for personal investments and are discouraged from frequent trading. iCapital may waive fees for employees investing in the Funds. The document also discusses potential conflicts of interest, including compensation from underlying fund managers.
doj/DataSet10/EFTA01393534.pdf
{"title":"iCapital Advisors, LLC Form ADV Part 2A","key_people":["CCO (Chief Compliance Officer)"],"document_type":"legal","document_subtype":"Form ADV Part 2A","key_organizations":["iCapital Advisors, LLC","iCapital Securities, LLC"],"reference_numbers":["DB-SDNY-0099141","SDNY_GM_00245325","EFTA01393534"]}