Category Archives: Gifts

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

October 26, 2009

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 of interest, which must be addressed and mitigated by an investment adviser.

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