RIA Compliance Consultants
Blog
 
Home
About Us
Our Services
  IA Registration
Annual Compliance for New IA
Switch from SEC to State
Code of Ethics
Customized Compliance Program
Compliance Webinars
  Upcoming Webinars
Recorded Webinars
Blog
Navigating the Regulatory Maze
Frequently Asked Questions
  IA Registration
Switch from SEC to State
Series 65 Exam
Solicitor
Form 13F
Schedule H
Written Supervisory Procedures
Codes of Ethics
Insurance Agents as IAs
Compliance Tips
  State IA Registration
Form ADV Background
Form ADV Drafting
SEC Examination
Published Articles
Contact Us

Online Invoice Payments
Newsletter Signup
Speaker Request
Resources
Job Openings
Search Our Site
Disclosures
(877) 345-4034 		Blog

Category Archives: Political Contributions

SEC Unanimously Agrees to Ban Pay-to-Play Practices by Investment Advisers

On June 30, 2010, the United States Securities and Exchange Commission (“SEC”) unanimously adopted Rule 206(4)-5 under the Investment Advisers Act of 1940 which is designed to curtail “pay to play” practices by registered investment advisers.  (Click here for a link to the SEC press release).  “Pay to play” is the practice of making contributions to [...]

 
Posted by Bryan Hill
Sunday, July 4, 2010
Labels: Political Contributions, SEC

 

SEC to Vote On Whether to Ban Pay-to-Play Contributions by Investment Advisers to Elected Officials

On June 30, 2010, the Commissioners of the Securities and Exchange Commission (“SEC”) will vote on whether to restrict investment advisers from participating in “pay to play” transactions with public officials.  The purpose of the proposed rule is to eliminate potential corruption from the process of awarding management contracts for public retirement funds.  If approved, [...]

 
Posted by Bryan Hill
Tuesday, June 29, 2010
Labels: Political Contributions, SEC

 

Upcoming Webinar: Supervising Gifts & Political Contributions of Investment Adviser Representatives

Although the U.S. Securities and Exchange Commission (“SEC”) does not currently have any specific rules associated with the giving or receiving gifts or political contributions by representatives affiliated with a federally registered investment adviser, the influencing of others through gifts and political contributions in the context of an investment advisory relationship creates a potential conflict [...]

 
Posted by Bryan Hill
Monday, October 26, 2009
Labels: Gifts, Political Contributions, Webinar

 

Is Your RIA Supervising the Gifts and Political Contributions of Its Investment Adviser Reps – Learn About the SEC’s Proposed Pay-to-Play Rule

The U.S. Securities and Exchange Commission (“SEC”) recently proposed new SEC Rule 206(4)-5 under the Investment Advisers Act of 1940. According to the SEC, the proposed rule is intended to curtail “pay to play” practices by registered investment advisers that seek to manage money for state and local governments. This SEC proposal relates to money [...]

 
Posted by Bryan Hill
Wednesday, October 7, 2009
Labels: Code of Ethics, Political Contributions, Webinar

 

SEC Proposes Ban of Political Contributions by Registered Investment Advisers Seeking to Manage Public Pensions

Earlier this week, the U.S. Securities and Exchange Commission (“SEC”) proposed a new rule prohibiting “pay to play” practices by SEC registered investment advisers seeking to manage money for state and local governments. The SEC explained that “[t]he measures are designed to prevent an [investment] adviser from making political contributions or hidden payments to influence [...]

 
Posted by Bryan Hill
Friday, July 24, 2009
Labels: Pensions, Political Contributions

 
  

Turnkey Investment Advisor Registration Service

Starting an RIA?

Utilize our expertise to leverage your time while growing your new business.
Request a Proposal

Annual Investment Advisor Compliance Program

Need help implementing an ongoing and comprehensive compliance program?

Outsource the heavy lifting by partnering with industry experienced professionals.
Request a Proposal

TwitterLinkedINFacebookYouTube

Subscribe to this Feed

 
 
Easy-to-Read Instructions

* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

Home
About RIA Compliance Consultants, Inc.
Our Services
   Investment Advisor Registration Service
  Annual Compliance for New IA
  Switch an IA from SEC to State
  Code of Ethics
  Customized Compliance Program
Compliance Tips
  Tips for Registering as a State Investment Advisor
  Form ADV Background
  Form ADV Drafting Tips
  SEC Exam Tips
Compliance Webinars
  Upcoming Webinars
  Recorded Webinars
Frequently Asked Questions
   Investment Advisor Registration FAQs
  Switch from SEC to State FAQs
  Series 65 Examination FAQs
  Solicitor Referral Arrangements FAQs
  Form 13F, Schedule 13D & Schedule 13G FAQs
  Schedule H FAQs
  Written Supervisory Procedures
  Codes of Ethics
  Insurance Agents as IAs FAQs
Published Articles
Blog
Contact RIA Compliance Consultants, Inc.
Online Invoice Payments
Newsletter
Speaker Request
Investment Advisor Resources
Job Openings
Search
Disclosures
Site Map
Link to RIA Compliance Consultants, Inc.