Webinar: Pay-to-Play: Understanding the Impact of Recent Enforcement Actions on Your Firm

Description: Discussions in the developments in pay-to-play regulation and the potential impact of recent enforcement actions on your firm.

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Webinar: Pay-to-Play, Understanding the Impact of Recent Enforcement Actions on Your Firm

In early 2017 the Securities and Exchange Commission (SEC) announced that 10 investment advisory firms agreed to pay penalties ranging from $35,000 to $100,000 to settle charges that they violated the SEC’s investment adviser pay-to-play rule by receiving compensation from public pension funds within two years following campaign contributions made by the firms’ associates.

As the Office of Compliance Inspections and Examinations (OCIE) of the SEC has emphasized in its 2017 examination priorities, pay-to-play and undisclosed gifts and entertainment practices continue to be a top priority for regulators.

Firms should have systems and procedures in place that are reasonably designed to ensure that payments, gratuities and political contributions are reported to the firm, reviewed for compliance, and maintained in the firm’s books and records.

RegEd has partnered with Renaissance Regulatory Services, Inc. to offer this educational webinar. Join us as we discuss developments in pay-to-play regulation and the potential impact of recent enforcement actions on your firm.

Topics that will be covered
 
  • SEC, MSRB, and FINRA regulations related to Pay-to-Play
  • Recent regulatory enforcement actions
  • Best practices to reduce the risk of non-compliance
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