To obtain a copy of a policy or procedure listed below, please email valicfundscompliance@corebridgefinancial.com with the procedure number(s) and name(s).
VALIC Compliance Procedures
300- Interfund Borrowing and Lending Procedures
301- Securities Lending Procedures-VALIC Company I
400- Code of Ethics
518- Form ADV and Form PF Filing Requirements
521- Policy and Procedure Relating to Compliance with Exemptive Order Conditions
602- Repurchase Agreement Transactions
605- Coefficients of Correlation for Index Funds
608- Procedures Relating to Joint Committed Line of Credit-VALIC
612- Liquidity Risk Management Policy
702- Market Timing Trading Policies and Procedures-VALIC
101- Affiliate Transaction Procedures {17a-10 of the '40 Act}
102- Circular Ownership or Cross Ownership Prohibition Policy
103- Fidelity Bond Procedures
105- Global Custody (Rule 17f-5)
106- Joint Account Procedures
108- Policies and Procedures - Advisory Agreements
109- Policies and Procedures Relating to Compliance with Section 12(d)(2) of the Investment Company Act of 1940
111- Procedures for Transactions Pursuant to Section 12(d) and Section 17(a) Under the Investment Company Act of 1940
113- Rule 10f-3 Procedures (Participation in an Underwriting)
114- Rule 17a-7 (Cross Transactions and Affiliated Transactions) Procedures
115- Rule 17e-1 (Use of Affiliated Brokers)
118- Rule 35d-1 Policy
119- Section 12(d)(3) Procedures
120- Supervisory Procedures
122- Restricted List
124- Fund of Funds Policy (12d1-4)
125- 18f-4 Program Policy
1603- Government Entity List - VALIC Funds
1109- Policies on Disclosure of Portfolio Holdings
1100- Policies and Procedures for the Privacy and Confidentiality of Customer Information
1200- Proxy Voting Guidelines
1500- Window Dressing Prohibition Policy
1501- Portfolio Pumping Prohibition Policy
1503- VALIC Investment Adviser Procedures