Pay-to-Play Regulation and Your Compliance Program

Date: 
September 26, 2018 - 11:00 am to 12:15 pm
Type: 
Webcast
Division: 
Investment Adviser
Speaker(s): 
Ki Hong, partner at Skadden and Elaine Vincent, consultant at ACA Compliance Group
Cost: 
$225.00

The midterm elections are a few short months away, and a number of recent administrative proceedings against both registered investment advisers and exempt reporting advisers by the U.S. Securities and Exchange Commission (“SEC”) should serve as a valuable reminder of the importance of actively monitoring for risks that political contributions can have on business with government entities. 

Join us on Wednesday, September 26, 2018 at 11 a.m. ET for our webcast, Pay-to-Play Regulations and Your Compliance Program. During this webcast, Ki Hong, partner at Skadden and Elaine Vincent, consultant at ACA Compliance Group will discuss pay-to-play regulations and best practices to consider for your compliance program. 

Discussion topics will include:

  • Overview of rules and laws
  • Review of federal and U.S. state concerns
  • Hot topics
  • Considerations for your compliance program including implementing policies, monitoring, and testing
  • Q&A

Fee to attend the webcast $225. Discount codes are available for ACA C3 clients and Cordium compliance clients. Please contact your compliance consultant or email us at webcastinfo@acacompliancegroup.com for your discount code.

CLE credit is pending.