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Political Contributions Enforcement Actions Compliance

WilmerHale

Recent Pay-to-Play Settlement: Notwithstanding a Strong Dissent Over 206(4)-5 Overbreadth, the Need for Strong Compliance Policies...

WilmerHale on

With political campaign activity ramping up as the fall elections approach, the Securities and Exchange Commission (SEC) has indicated it will continue stringent enforcement of Investment Advisers Act Rule 206(4)-5 (the...more

K&L Gates LLP

Compliance Reminder: Pay-to-Play and the 2020 Election Cycle

K&L Gates LLP on

INTRODUCTION - As the November 2020 elections approach, investment advisers and other financial institutions who do business with, or seek to do business with, public pension plans and other government entities should...more

Nossaman LLP

Latest Lobbying Disclosure Act Settlement Underscores the Importance of a Robust Compliance Program

Nossaman LLP on

Even if you have nothing to report, you still need to file: that is the lesson from last week's Lobbying Disclosure Act (LDA) settlement. Late last week, DC-based lobbying firm Carmen Group reached an agreement with the...more

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