Join Fund Intelligence for our next Briefing: a free-to-attend member event featuring a panel-led discussion and informal networking.
The briefing is an excellent opportunity to update your knowledge, whilst meeting with your peers and connecting with new business contacts.
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?
– 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
08:30 Breakfast & networking
09:10 Introduction from Fund Intelligence
09:15 Panel debate
How to attend the briefing:
All Fund Intelligence members are welcome to attend the briefing. To book your place click here.
If you are not currently a member, you can attend the briefing by taking out a free trial to one of the Fund Intelligence publications. Please contact the team at firstname.lastname@example.org to arrange your trial.