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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 managed [...]

 
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

 
  

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