Thompson Finance

Don’t Pay for “Pay-to-Play”: Understanding SEC Enforcement Priorities for
Political Giving by Investment Advisers

Thursday, March 23, 2017 • 2:00 pm ET/1:00 pm CT/12:00 pm MT/11:00 am PT
1.5 CPE credits

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OnDemand Recording
$189.00
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until 03.23.2018)


$189.00 Don’t Pay for “Pay-to-Play”: Understanding SEC Enforcement Priorities for Political Giving by Investment Advisers (OnDemand)
Webinar Details

Subject: Finance

Prerequisites: None

Recommended Field of Study: Specialized Knowledge and Applications

Advanced Preparation: None

Political gift-giving can be an important part of doing business, but it can be particularly risky for investment advisers who have government clients or are involved in the  policy-making process.

For starters, a growing number of federal and state “pay-to-play” laws restrict contributions. These regulations are separate from other campaign finance laws, and the penalties for noncompliance can strike right at your company’s bottom line.  In addition, with the SEC prioritizing pay-to-play enforcement, investment advisers could not only face fines and civil lawsuits, but also criminal prosecution.

This is no time for guesswork!  Make sure your political-giving policy is strong enough to protect your company, and clear enough so employees can still leverage pay-to-play strategies.  Here’s how.

Register now for Don’t Pay for “Pay-to-Play”: Understanding SEC Enforcement Priorities for Political Giving by Investment Advisers.

In this 90-minute webinar, Venable’s Ronald Jacobs explains how to give political gifts without running afoul of state and federal pay-to-play laws. You’ll learn what specific restrictions and disclosure obligations apply to investment advisers and today’s best practices for developing a political giving policy that protects your company while giving employees the flexibility to use “pay to play” tactics legally.

Reducing the risk of severe penalties.  From campaign contributions to gifts to public officials, you’ll know where the SEC is stepping up enforcement of pay-to-pay rules governing financial services. You’ll also learn how to avoid common violations. Plus, you’ll have the chance to ask your own questions during the Q&A portion of the webinar.

Reserve your space now to exert political and public-sector influence without violating rapidly changing pay-to-play laws. Attendees who complete the webinar will:

  • Learn how state and federal pay-to-play rules apply to companies with government clients
  • Explore the SEC enforcement actions and penalties imposed—even against companies that were trying to comply
  • Understand how to develop a political giving compliance policy that protects the company and allows for flexibility with employees
  • Review which states require marketing teams to register as lobbyists
  • Cover best practices for remaining in compliance
  • And more!

Bottom line: political gift giving is an important part of doing business. This webinar helps you do it without making mistakes that are landing your fellow investment advisers in multi-million dollar lawsuits.

Register now for Don’t Pay for “Pay-to-Play”: Understanding SEC Enforcement Priorities for Political Giving by Investment Advisers.

Who Will Benefit

This webinar is of value to private investment companies. Attendees who will benefit most include:

  • General counsels
  • Associate counsels with corporate responsibility
  • Compliance officers
  • Government marketing teams
  • Government affairs teams

YOUR EXPERT(S):

Ronald Jacobs

Ronald Jacobs is a partner at Venable LLP and serves as co-chair of the Political Law Group and as hiring partner in the firm's Washington, DC office. He advises clients on all aspects of state and federal political law, including campaign finance, lobbying disclosure, gift and ethics rules, pay-to-play laws, and tax implications of political activities. He assists clients with crises response to government investigations and enforcement actions, Congressional investigations, class-action law suits, and other high-profile problems that involve potentially damaging legal and public-relations matters. Along with Lawrence Norton, he co-edits the firm’s Political Law Briefing blog. 

He offers practical advice that considers not only the legal requirements, but also the reputational risk, of political activity to a broad range of clients, including large and small companies, trade associations, charities, campaigns, Super PACs, ideological groups, individuals, and political vendors. He has developed political compliance programs for Fortune 500 companies and other clients that lobby and make political contributions nationwide. He also has extensive experience in the administrative rulemaking process and in litigating challenges to agency decisions in federal court. He has represented clients in administrative matters before the Federal Election Commission, the Merit Systems Protection Board, the Federal Trade Commission, the United States Congress, and in federal court.

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