{"component": "definition", "props": {"groups": [{"samples": [{"hash": "csOWhIFXA9m", "uri": "https://www.sec.gov/Archives/edgar/data/939934/000110465913057952/a13-16721_1ex99dbp15.htm", "label": "Code of Ethics (Sei Institutional Investments Trust)", "score": 12.575633049, "published": false}, {"hash": "cJfGZdIw1md", "uri": "https://www.sec.gov/Archives/edgar/data/1227523/000120677413002576/exhibit99_p1.htm", "label": "Code of Ethics (Optimum Fund Trust)", "score": 12.57289505, "published": false}, {"hash": "iZNImcaOuVO", "uri": "https://www.sec.gov/Archives/edgar/data/916620/000119312513297456/d553157dex99p8.htm", "label": "Code of Ethics (Northern Funds)", "score": 12.553730011, "published": false}], "size": 381, "snippet_links": [{"key": "professionally-managed", "type": "definition", "offset": [25, 47]}, {"key": "compliance-department", "type": "clause", "offset": [122, 143]}, {"key": "prior-to", "type": "definition", "offset": [144, 152]}, {"key": "the-account", "type": "clause", "offset": [165, 176]}, {"key": "the-facts", "type": "clause", "offset": [218, 227]}, {"key": "the-employees", "type": "clause", "offset": [300, 313]}, {"key": "in-addition", "type": "clause", "offset": [356, 367]}, {"key": "duplicate-statements-and-confirmations", "type": "clause", "offset": [463, 501]}, {"key": "by-the-employee", "type": "clause", "offset": [647, 662]}], "snippet": "means an account that is professionally managed through a wrap program. Managed Accounts require pre-approval through the Compliance Department prior to starting up the account. The Compliance Department will consider the facts and circumstances of the account, including the functions and duties of the employees, when approving or denying such accounts. In addition, preclearance is exempt with Managed Accounts, however, all trades still require reporting and duplicate statements and confirmations are required to be sent to the Compliance Department. Preclearance is only exempt for trades initiated by the wrap manager. All trades initiated by the employee require preclearance.", "hash": "42cd0fe545c41b428ebcf3cfff50d31f", "id": 1}, {"samples": [{"hash": "bdhPWxNiw65", "uri": "https://www.sec.gov/Archives/edgar/data/935070/000119312509094543/dex99p1.htm", "label": "Code of Ethics (Ing Strategic Allocation Portfolios Inc)", "score": 7.0, "published": false}, {"hash": "cLY9h9BINqc", "uri": "https://www.sec.gov/Archives/edgar/data/877233/000119312509159645/dex99p1.htm", "label": "Code of Ethics (Ing Series Fund Inc)", "score": 7.0, "published": false}, {"hash": "cmdwGgnP6jF", "uri": "https://www.sec.gov/Archives/edgar/data/877233/000119312508203393/dex99p1.htm", "label": "Code of Ethics (Ing Series Fund Inc)", "score": 7.0, "published": false}], "size": 22, "snippet_links": [{"key": "registered-investment-company", "type": "clause", "offset": [69, 98]}], "snippet": ": means any account advised by ING Investments or ILIAC other than a registered investment company.", "hash": "c506854d930ce37c645ec7faded462a8", "id": 2}, {"samples": [{"hash": "4NiRg6ySKJF", "uri": "https://www.sec.gov/Archives/edgar/data/837276/000110465907032370/a06-25229_11ex99dbp1.htm", "label": "Code of Ethics (Ing Investors Trust)", "score": 7.0, "published": false}, {"hash": "8WtukAuMVrV", "uri": "https://www.sec.gov/Archives/edgar/data/1332943/000119312505190349/dex992ri.htm", "label": "Code of Ethics (ING Global Advantage & Premium Opportunity Fund)", "score": 7.0, "published": false}, {"hash": "64D9DQ9m3xN", "uri": "https://www.sec.gov/Archives/edgar/data/916764/000095012405000736/p70037aexv99wpw1.txt", "label": "Code of Ethics (Ing Vp Emerging Markets Fund Inc)", "score": 6.0, "published": false}], "size": 17, "snippet_links": [{"key": "registered-investment-companies", "type": "clause", "offset": [31, 62]}], "snippet": ": means any account other than registered investment companies.", "hash": "1a0f9e7684e54e85b9a1fc07767c7674", "id": 3}, {"samples": [{"hash": "ilK2ybXyzg5", "uri": "https://www.sec.gov/Archives/edgar/data/1661306/000166130626000036/ck0001661306-ex14_1.htm", "label": "Code of Ethics (Hancock Park Corporate Income, Inc.)", "score": 25.34770705, "published": false}, {"hash": "bmlVfTvEFo5", "uri": "https://www.sec.gov/Archives/edgar/data/1487918/000148791826000054/ofs-ex14_1.htm", "label": "Code of Ethics (OFS Capital Corp)", "score": 25.3285427094, "published": false}, {"hash": "elNAIgvLQek", "uri": "https://www.sec.gov/Archives/edgar/data/1767074/000176707426000005/r4ofs-jointcodeofethicsjan.htm", "label": "Code of Ethics (CIM Real Assets & Credit Fund)", "score": 25.0739212036, "published": false}], "size": 12, "snippet_links": [{"key": "affiliated-accounts", "type": "definition", "offset": [10, 29]}, {"key": "by-a-third-party", "type": "clause", "offset": [93, 109]}, {"key": "investment-adviser", "type": "definition", "offset": [122, 140]}], "snippet": "means non-Affiliated Accounts that are controlled or invested on a fully discretionary basis by a third party, such as an investment adviser or broker.", "hash": "17d17e9c1d27acf7bebb6c99b6a43abf", "id": 4}, {"samples": [{"hash": "hR04scyb57s", "uri": "https://www.sec.gov/Archives/edgar/data/890339/000113322806000243/exp9.htm", "label": "Code of Ethics (Target Portfolio Trust)", "score": 9.0, "published": false}, {"hash": "eQNbJgj4EeT", "uri": "https://www.sec.gov/Archives/edgar/data/811869/000119312505243281/dex99p6.htm", "label": "Code of Ethics (Thrivent Mutual Funds)", "score": 9.0, "published": false}, {"hash": "6BYU1ksuy3k", "uri": "https://www.sec.gov/Archives/edgar/data/790166/000119312506026855/dex99p7.htm", "label": "Code of Ethics (Thrivent Series Fund Inc)", "score": 9.0, "published": false}], "size": 9, "snippet_links": [{"key": "investment-companies", "type": "clause", "offset": [24, 44]}, {"key": "other-non", "type": "clause", "offset": [98, 107]}, {"key": "investment-company-act", "type": "clause", "offset": [108, 130]}], "snippet": "means the portfolios of investment companies for which TIM acts as an adviser or sub-adviser, and other non-Investment Company Act clients.", "hash": "7cb0a36f8ea94e433484b10b1f477e56", "id": 5}, {"samples": [{"hash": "38RZXvAGTrn", "uri": "https://www.sec.gov/Archives/edgar/data/898745/000089874526000202/p28codeofethics-victory040.htm", "label": "Code of Ethics (Principal Funds, Inc.)", "score": 25.1560573578, "published": false}, {"hash": "gzMtEBcavUn", "uri": "https://www.sec.gov/Archives/edgar/data/898745/000089874524000221/ex99p32-victorycodeofethic.htm", "label": "Code of Ethics (Principal Funds, Inc.)", "score": 23.1546878815, "published": false}, {"hash": "jyrq02QaSTc", "uri": "https://www.sec.gov/Archives/edgar/data/898745/000168386321007448/f10587d31.htm", "label": "Code of Ethics (Principal Funds, Inc.)", "score": 18.9890480042, "published": false}], "size": 5, "snippet_links": [{"key": "investment-advisory", "type": "definition", "offset": [6, 25]}, {"key": "brokerage-accounts", "type": "clause", "offset": [29, 47]}, {"key": "access-person", "type": "definition", "offset": [62, 75]}, {"key": "no-direct-or-indirect-influence-or-control", "type": "definition", "offset": [80, 122]}, {"key": "investment-decisions", "type": "clause", "offset": [130, 150]}], "snippet": "means investment advisory or brokerage accounts over which an Access Person has no direct or indirect influence or control in the investment decisions or activities.", "hash": "d4bc64a98c69618850cd8c82f9a08500", "id": 6}, {"samples": [{"hash": "7lUtpaCJStm", "uri": "https://www.sec.gov/Archives/edgar/data/889284/000139834425022192/fp0096454-1_ex9928q.htm", "label": "Sterling Capital Funds", "score": 18.9342918396, "published": false}, {"hash": "bvN9Kv3a0Zi", "uri": "https://www.sec.gov/Archives/edgar/data/1587551/000158064221004032/ex99p12.htm", "label": "Capitol Series Trust", "score": 16.6522922516, "published": false}, {"hash": "hfDMhDJY1yD", "uri": "https://www.sec.gov/Archives/edgar/data/1587551/000139834419006641/fp0041205_ex9928p18.htm", "label": "Capitol Series Trust", "score": 12.2867898941, "published": false}], "size": 4, "snippet_links": [{"key": "all-accounts", "type": "clause", "offset": [6, 18]}, {"key": "pension-plans", "type": "definition", "offset": [59, 72]}, {"key": "endowment-funds", "type": "definition", "offset": [126, 141]}, {"key": "deferred-profit", "type": "definition", "offset": [143, 158]}, {"key": "mutual-funds", "type": "definition", "offset": [177, 189]}], "snippet": "means all accounts managed by Guardian including those for pension plans, corporations and trusts, individuals, operating and endowment funds, deferred profit-sharing funds and mutual funds, including any US Mutual Fund;", "hash": "169a56c8cff05c79aca9350e574e2659", "id": 7}, {"samples": [{"hash": "lLC9p6QXaJN", "uri": "https://www.sec.gov/Archives/edgar/data/1027596/000089418909004464/coe_tim.htm", "label": "Code of Ethics (Advisors Series Trust)", "score": 9.0, "published": false}, {"hash": "aZpN6A9dEjn", "uri": "https://www.sec.gov/Archives/edgar/data/1027596/000089418911000822/coe_tim.htm", "label": "Advisors Series Trust", "score": 6.1581110954, "published": false}], "size": 2, "snippet_links": [{"key": "investment-companies", "type": "clause", "offset": [24, 44]}, {"key": "company-acts", "type": "clause", "offset": [59, 71]}, {"key": "other-non", "type": "clause", "offset": [110, 119]}, {"key": "investment-company-act", "type": "clause", "offset": [120, 142]}], "snippet": "means the portfolios of investment companies for which the Company acts as an adviser or sub-adviser, and any other non-Investment Company Act client portfolios.", "hash": "48932ba9e4bfae02c56191538764580a", "id": 8}, {"samples": [{"hash": "fQvrX2m0q6U", "uri": "https://www.sec.gov/Archives/edgar/data/908186/000090818615000058/accp2015ex99p3pwpcodeofeth.htm", "label": "Code of Ethics (American Century Capital Portfolios Inc)", "score": 14.3442850113, "published": false}, {"hash": "d8cASaNHca7", "uri": "https://www.sec.gov/Archives/edgar/data/1591556/000089968114000234/dreybny-expiv_031714.htm", "label": "Code of Ethics (Dreyfus BNY Mellon Funds, Inc.)", "score": 13.213552475, "published": false}], "size": 2, "snippet_links": [{"key": "directly-or-indirectly", "type": "clause", "offset": [60, 82]}, {"key": "investment-decisions", "type": "clause", "offset": [124, 144]}, {"key": "with-respect-to", "type": "clause", "offset": [145, 160]}, {"key": "assets-held", "type": "clause", "offset": [165, 176]}], "snippet": "means Trading Accounts where you do not have any authority, directly or indirectly, to influence, direct or effect specific investment decisions with respect to the assets held in such account.", "hash": "660933773a65bec7b15484777d8ee205", "id": 9}, {"samples": [{"hash": "drYRW8U1Yx6", "uri": "https://www.sec.gov/Archives/edgar/data/914036/000104746904011182/a2131401zex-23_p7.txt", "label": "Code of Ethics (Lincoln Variable Insurance Products Trust)", "score": 6.0, "published": false}], "size": 2, "snippet_links": [{"key": "professionally-managed", "type": "definition", "offset": [25, 47]}, {"key": "compliance-department", "type": "clause", "offset": [122, 143]}, {"key": "prior-to", "type": "definition", "offset": [144, 152]}, {"key": "the-account", "type": "clause", "offset": [165, 176]}, {"key": "the-facts", "type": "clause", "offset": [218, 227]}, {"key": "the-employees", "type": "clause", "offset": [300, 313]}], "snippet": "means an account that is professionally managed through a wrap program. Managed Accounts require pre-approval through the Compliance Department prior to starting up the account. The Compliance Department will consider the facts and circumstances of the account, including the functions and duties of the employees, when approving or denying such accounts. In", "hash": "c1c288f796412514393c8f69235e22e4", "id": 10}], "next_curs": "Cl0SV2oVc35sYXdpbnNpZGVyY29udHJhY3RzcjkLEhpEZWZpbml0aW9uU25pcHBldEdyb3VwX3Y1NiIZbWFuYWdlZC1hY2NvdW50cyMwMDAwMDAwYQyiAQJlbhgAIAA=", "definition": {"size": 466, "snippet": "means an account that is professionally managed through a wrap program. Managed Accounts require pre-approval through the Compliance Department prior to starting up the account. The Compliance Department will consider the facts and circumstances of the account, including the functions and duties of the employees, when approving or denying such accounts. In addition, preclearance is exempt with Managed Accounts, however, all trades still require reporting and duplicate statements and confirmations are required to be sent to the Compliance Department. Preclearance is only exempt for trades initiated by the wrap manager. All trades initiated by the employee require preclearance.", "title": "Managed Accounts", "id": "managed-accounts", "examples": ["If all such orders are not filled at the same price, the Adviser may cause the Corporation and each Managed Account to pay or receive the average of the prices at which the orders were filled for the Corporation and all relevant <strong>Managed Accounts</strong> on each applicable day.", "Moreover, it is understood that when the Adviser determines that it would be appropriate for the Corporation and one or more <strong>Managed Accounts</strong> to participate in the same investment opportunity, the Adviser shall seek to execute orders for the Corporation and for such Managed Account(s) on a basis that the Adviser considers to be fair and equitable over time.", "If all such orders are not filled at the same price, the Advisor may cause the Company and each Managed Account to pay or receive the average of the prices at which the orders were filled for the Company and all relevant <strong>Managed Accounts</strong> on each applicable day.", "Moreover, it is understood that when the Advisor determines that it would be appropriate for the Company and one or more <strong>Managed Accounts</strong> to participate in the same investment opportunity, the Advisor shall seek to execute orders for the Company and for such Managed Account(s) on a basis that the Advisor considers to be fair and equitable over time.", "You understand and agree that cash balances in your Managed Account(s) will be held in the money settlement option made available to you by Ameriprise Financial and that you agreed to in your application.", "The Subscriber is purchasing the Units as bare trustee or agent (including, for greater certainty a portfolio manager, comparable advisor or dealing representative) for one or more <strong>Managed Accounts</strong>, as principal.", "You have the right to vote proxies on the securities held in your Managed Account(s) or you may delegate the authority to vote proxies on your behalf to another person.", "AEIS provides execution, recordkeeping, and all other clearing functions for <strong>Managed Accounts</strong>.", "In discretionary IAR <strong>Managed Accounts</strong>, fund prospectuses and other regulatory mailings associated with an investment in registered funds are available to you upon request.", "For IAR <strong>Managed Accounts</strong>, AMS provides only wrap fee billing and administrative services; Adviser, through its IARs, and not AMS, is responsible for all investment advice."], "related": [["managed-account", "Managed Account", "Managed Account"], ["fully-managed-account", "fully managed account", "fully managed account"], ["managed-assets", "Managed Assets", "Managed Assets"], ["managed-fund", "Managed Fund", "Managed Fund"], ["pledged-accounts", "Pledged Accounts", "Pledged Accounts"]], "related_snippets": [], "updated": "2026-05-10T05:39:37+00:00"}, "json": true, "cursor": ""}}