Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Pay-to-Play (109)
Your search for Pay-to-Play returned 109 results.
Sorted by Date

7/05/2019 | Content area: Investment Adviser
Early debates among Democratic Presidential candidates attest to the vigorous election season that awaits – a perfect time to ponder the reach of the ...
6/13/2019 | Content area: Investment Adviser
Commissioner approval of rules and interpretations tied to fiduciary duty represented a “culmination of decades of work,” noted Barbara Gunn, assistan...
3/21/2019 | Content area: Investment Adviser
You may wish to consider live or videotaped training around the SEC’s pay-to-play rule.   Generation Investment Management ($8.4B in AUM) in San Franc...
12/20/2018 | Content area: Investment Adviser
The Mayfield Heights, Ohio-based advisory firm Ancora Advisors ($4.6B in AUM) knew it had violated the SEC’s pay-to-play rule, which meant a “two-year...
12/18/2018 | Content area: Investment Adviser
These proceedings involve violations of the Commission’s “pay-to-play” rule for investment advisers by Respondent Ancora Advisors, an investment advis...
9/13/2018 | Content area: Investment Adviser
We’ve told you before about Stephanie Drescher’s $1,000 contribution to the presidential campaign of Ohio Governor John Kasich (IA Watch, March 29, 20...
7/26/2018 | Content area: Broker-Dealer
Paulsen and Kelley planned a ski trip for the purpose of entertaining Kang and his girlfriend. The complaint alleges that Kang told Paulsen and Kelley...
7/12/2018 | Content area: Investment Adviser | Private Fund
The Advisers Act’s pay-to-play rule clearly states that a violation of the rule prohibits an adviser from receiving compensation from a public pension...
7/10/2018 | Content area: Private Fund
Three covered associates of Respondent made campaign contributions to candidates for elected office in California and Rhode Island, which offices had ...
7/10/2018 | Content area: Investment Adviser
A covered associate of Respondent made a contribution to the federal election campaign of an elected state official in Wisconsin and that state office...
7/10/2018 | Content area: Investment Adviser
In April 2014, a covered associate of Respondent made a campaign contribution to a candidate for elected office in Illinois, which office had influenc...
3/29/2018 | Content area: Investment Adviser
With another election nearing, this may be a good time to remind staff of your pay-to-play policies – especially after two more advisers have applied ...
12/07/2017 | Content area: Investment Adviser
Two new amended applications for exemptive relief under the SEC’s pay-to-play rule suggest the agency wants to see more evidence of a robust response ...
10/26/2017 | Content area: Investment Adviser
Bradford Eichler had grown up with Capi Peck’s ex-husband. Their friendship dated back decades. So when Peck ran for the job of director of the Little...
8/24/2017 | Content area: Investment Adviser
It’s taken years for the SEC’s ban on third-party solicitation under its pay-to-play rule to take effect – largely because the Commission waited until...
6/29/2017 | Content area: Investment Adviser
Few executives blunder as big as Mark Wiedman did when the Blackrock Advisors’ ($544B in AUM) senior managing director contributed $2,700 to last year...
6/01/2017 | Content area: Broker-Dealer
Another shoe has dropped in the ongoing investigation of a “pay-to-play” bribery scheme involving the New York State Common Retirement Fund. A second ...
2/20/2017 | Content area: Investment Adviser
A peer shares a portion of the firm's code of ethics. These are sample policies and procedures for gifts and entertainment as well as pay-to-play.
1/18/2017 | Content area: Investment Adviser
Only days after OCIE’s 2017 exam priorities recorded examiners’ interest in public pension advisers and compliance with the pay-to-play rule (IA Watch...
1/17/2017 | Content area: Investment Adviser
In January 2014 and August 2014, a covered associate of Respondent made two $500 campaign contributions to two elected officials in Pennsylvania, both...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US