Briefings 21 Jul 2016

Pay-To-Play: Don’t Get Caught Out This Election Season

The SEC’s pay-to-play rule isn’t new, but investment advisers are still struggling to get to grips with a range of compliance and operational issues it presents.

Venue: The Lambs Club, W 44th St, New YorkNew York

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The topic of July’s Fund Intelligence briefing is: Pay-To-Play: Don’t Get Caught Out This Election Season

The Securities and Exchange Commission’s pay-to-play rule isn’t new, but investment advisers are still struggling to get to grips with a range of compliance and operational issues it presents.

With the U.S. election season upon us, firms need to make sure they have the right policies and procedures in place to ensure they and their employees don’t make donations or in-kind offers to candidates that trigger a two-year ban on the firm being paid for its advisory services to a government entity.

Issues for possible discussion include:
• How can firms respond to inadvertent violations of the rule and get relief from the SEC?
• What are the unexpected ways IAs or their employees can trigger the ban?
• How should you frame your policies and procedures, and what are the operational implications?
• Exactly who is covered by the rule, and how can you best train them to comply with it?
• What do SEC examiners look for in exams regarding firms’ pay-to-play efforts?

Speakers
– Kevin Hyams, partner, Friedman
– Marc Elovitz, partner, Schulte Roth & Zabel
– Richard Guidice, partner, Kleinberg Kaplan
– Dave Martin, v.p. broker/dealer compliance, Virtus Investment Partners

Agenda
08:30 Breakfast & networking
09:10 Introduction from Fund Intelligence
09:15 Panel debate
10:00 Questions
10:15 Close

How to attend the briefing:

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