Code of Business Conduct and Ethics

Thornburg Investment Management Code of Business Conduct and Ethics (PDF)

Thornburg Investment Trust Code of Business Conduct and Ethics (PDF)

Proxy Voting Policy

Proxy Vote Record (PDF)

Proxy Voting Policy and Procedures (PDF)

USA Patriot Act

Federal law requires us to obtain, verify and record information which identifies each person who opens an account. When you open an account, you will be asked to supply your name, address, date of birth, Social Security or tax identification number and other information identifying you. Furthermore, legal entity customers may be asked to provide verification and identification information about their ultimate beneficial owners and control persons. We are required to reject any new account application if the required information is not provided.

Business Continuity Plans

Thornburg Securities Corporation - Business Continuity Plan (PDF)

Thornburg Investment Management and Thornburg Investment Trust - Business Continuity Plan (PDF)

Form ADV Part 2A

Form ADV Part 2A (PDF)

 

Important message for Canadian trade-matching parties

Trade-Matching Statement (PDF)

 

Web site images and video

Downloading, republication, retransmission, reproduction or other use of the imagery or videos on this web site as stand-alone files is prohibited.