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Political Contributions Settlement

Proskauer - The Capital Commitment

Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule

The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a timely reminder for fund managers, especially with the November elections approaching. As a refresher, Rule 206(4)-5 of...more

ArentFox Schiff

How to Avoid an Independent Compliance Monitor: Lessons From the SAP Settlement

ArentFox Schiff on

This week, SAP SE (SAP), the German-based software company, agreed to pay over $200 million to resolve investigations by the US Department of Justice (DOJ) and US Securities and Exchange Commission (SEC) into violations of...more

Dechert LLP

UPDATE: Continued Regulatory Focus on US Political Contributions

Dechert LLP on

Recent actions by financial industry regulators, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority, Inc. (“FINRA”), and the Municipal Securities Rulemaking Board (“MSRB”),...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

King & Spalding

Washington Insight: Corporate Lobbyist's Toolkit - January 2013

King & Spalding on

In This Issue: - Making Decisions on Corporate Campaign Expenditures - What’s in Store in Congresson Campaign Finance Reform? - DC Circuit Reversed Van Hollen. Players Changed Tactics to Avoid Disclosure. ...more

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