Thomas Bredar

Thomas Bredar

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Recent Exemptions from Rule 206(4)-5 Demonstrate the Importance of Strong Compliance Policies and Quick Corrective Action

Recently, the Securities and Exchange Commission (SEC) has demonstrated its willingness to largely forgo the strict consequences of Investment Advisers Act Rule 206(4)-5 (the “Pay-to-Play Rule”) in circumstances where...more

3/17/2023  /  Compliance , Corrective Actions , Investment Adviser , Investment Advisers Act of 1940 , Pay-To-Play , Rule 206(4)-5 , Securities and Exchange Commission (SEC)
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