Pay-to-Play

Click here for a Word file that is a peer's pre-clearance form for staff to complete and submit to the compliance department before making a ...

You have until Feb. 22 to comment to the SEC about its municipal advisor proposal (IA Watch, Jan. 17, 2011), and many in the industry ...

Make sure you revise your code of ethics, introduce new policies and procedures, create forms for recordkeeping and train staff about the SEC's new pay-to-play ...

Click here to download a Word file that comes from a peer who shares the firm's form for new hires to complete to assist the ...

Click here to download a Word document that is a peer's policies and procedures for the SEC's pay-to-play rule.

If your firm uses a placement agent to lobby for New York City pension business, the agent may well have to register as a lobbyist ...

This is a copy of a letter New York City authorities sent to investment advisers in 2011 warning them they may have to register as ...

The prospect of managing California's massive CalPERS pension fund lures advisers from around the world. But a new regulation that took effect this month requires ...

This is the California law, which took effect January 1, 2011, that declares placement agents and some firms as lobbyists in an effort to reduce ...

You have a few months before the SEC's pay-to-play rule kicks in (IA Watch, Dec. 13, 2010), which gives you time to put in place ...