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Open Categories Menu Investment Advisers Act Rule 206 (4)-5 Today the SEC approved new Rule 206 (4)-5 under the Investment Advisers Act of 1940 which prohibits investment advisers from making political contributions in certain situations. The new rule has three essential elements: Investment advisory firms and employees are prohibited from managing assets for [...]
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Posts Tagged ‘ pay to play ’
18 September
Investment Adviser Pay to Play Rules
SEC Proposal Would Ban Third Party Solicitors from Seeking Public Monies Back in July there was much discussion about new “pay to play” rules proposed by the SEC. The proposed “pay to play” rules would limit the ability of investment managers (including hedge fund managers) to make political contributions and [...]
