Company: OXLCZ
Filing Date: 2025-02-21
Form Type: 424B2
Source: 0001213900-25-015823
Chunk: 115

Company: Oxford Lane Capital Corp.
Filing Date: 2025-02-21
Form: 424B2
Chunk 115
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 the potential for gain or loss on amounts invested and will increase the risk of investing in us” in our most recent annual or semi -annualreport on Form N -CSR. Code of Ethics We and Oxford Lane Management have each adopted a code of ethics pursuant to Rule 17j -1under the 1940 Act and Rule 204A -1under the Advisers Act, respectively, that establishes procedures for personal investments and restricts certain transactions by our personnel. Our code of ethics generally does not permit investments by our employees in securities that may be purchased or held by us. Our code of ethics is incorporated by reference as an exhibit to the registration statement of which this prospectus is a part, and is available on the EDGAR Database on the SEC’s Internet site at http://www.sec.gov.You may also obtain copies of our code of ethics via our website at http://www.oxfordlanecapital.com. Compliance Policies and Procedures We and Oxford Lane Management have adopted and implemented written policies and procedures reasonably designed to detect and prevent violation of the federal securities laws and are required to review these compliance policies and procedures annually for their adequacy and the effectiveness of their implementation and designate a Chief Compliance Officer to be responsible for administering the policies and procedures. Gerald Cummins currently serves as our Chief Compliance Officer. Sarbanes-Oxley Act of 2002 The Sarbanes -OxleyAct of 2002 imposes a wide variety of regulatory requirements on publicly -heldcompanies and their insiders. Many of these requirements affect us. For example: •pursuant to Rule 30a -2of the 1940 Act, our chief executive officer and chief financial officer must certify the accuracy of the financial statements contained in our periodic reports; •pursuant to Form N -CSR, our annual and semi -annualreports must disclose our conclusions about the effectiveness of our disclosure controls and procedures; •pursuant to Form N -CSR, our annual and semi -annualreports must disclose whether there were significant changes in our internal controls over financial reporting or in other factors that could significantly affect these controls subsequent to the date of their evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses; and •pursuant to Form N -CEN, our annual reports must include a report from our independent registered public accountant on our internal controls over financial reporting and we must disclose whether such report identified any material weaknesses in our internal controls. The Sarbanes -OxleyAct requires us to review our current policies