Company: TSI
Filing Date: 2025-03-05
Form Type: N-CSR
Source: 0001193125-25-046168
Chunk: 54

Company: TCW STRATEGIC INCOME FUND INC
Filing Date: 2025-03-05
Form: N-CSR
Chunk 54
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 Hovhannisyan, CFA |     |              | 27 |     | $      | 71,842 |     |                     | 17 |     | $      |     15,799 |     |                | 157 |     | $      | 43,267 |     |                   | 0 |     | $      | 0 |     |                   |  1 |     | $      |   241 |     |                   |  5 |     | $      | 2,959 |
| Bryan T. Whalen, CFA    |     |              | 27 |     | $      | 73,386 |     |                     | 28 |     | $      | 17,832,168 |     |                | 200 |     | $      | 56,798 |     |                   | 0 |     | $      | 0 |     |                   |  4 |     | $      |   511 |     |                   | 10 |     | $      | 6,686 |

Conflicts

The TCW Group, Inc. and its subsidiaries, the Registrant, TCW Funds, Inc., the Metropolitan West Funds, and TCW ETF Trust (collectively, “TCW”) have policies and controls to avoid and/or mitigate conflicts of interest across its businesses. The policies and procedures in TCW’s Code of Ethics (the “Code”) serve to address or mitigate both conflicts of interest and the appearance of any conflict of interest. The Code contains several restrictions and procedures designed to eliminate conflicts of interest relating to personal investment transactions, including (i) reporting account openings, changes, or closings (including accounts in which an Access Person has a “beneficial interest”), (ii) pre-clearance of non-exempt personal investment transactions (make a personal trade request for Securities) and (iii) the completion of timely required reporting (Initial Holdings Report, Quarterly Transactions Report, Annual Holdings Report and Annual Certificate of Compliance).

In addition, the Code addresses potential conflicts of interest through its policies on insider trading, anti-corruption, an employee’s outside business activities, political activities and contributions, confidentiality and whistleblower provisions.

Conflicts of interest may also arise in the management of accounts and investment vehicles. These conflicts may raise questions that would allow TCW to allocate investment opportunities in a way that favors certain accounts or investment vehicles over other accounts or investment vehicles, or incentivize a TCW portfolio manager to receive greater compensation with regard