Playing by the Rules: Pay-to-Play, Lobbying and Gifts

In this IAA 2019 Investment Adviser . Compliance Conference breakout session, panelists discuss updates to pay-to-play, lobbying and related regulations, recent inspection and enforcement activity, and best practices for compliance policies and procedures in this area.

The panel included:

Garrett C. Broadrup, Vice President and Senior Counsel, Affiliated Managers Group, Inc.

Holly Hunter-Ceci, Assistant Chief Counsel, Division of Investment Management, Securities and Exchange Commission

Keith Marks, General Counsel and Executive Director, Compliance Solutions Strategies

Ki P. Hong, Partner, Skadden, Arps, Slate, Meagher & Flom LLP, Moderator

Видео Playing by the Rules: Pay-to-Play, Lobbying and Gifts канала Investment Adviser Association