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Pay to Play Compliance Resource




Pay to Play Compliance Resource

Pay to Play compliance is important to Registered Investment Advisors.
In the wake of recent scandals involving kickbacks in exchange for advisory business from government agencies and elected officials, the SEC has adopted Rule 206(4)-5 to limit "pay to play" practices by RIAs.
These rules impact everything from your hiring decisions, your campaign contributions, and even the government entities you are allowed to have as clients. There are numerous compliance and record keeping requirements for political contributions and government clients. The Pay to Play Compliance Resource will help ease your compliance burden.
The Pay to Play Compliance Resource includes:

  • Sample policies (Pay-to-Play and Solicitor)
  • Books and records information
  • Solicitor Agreement language
  • Forms to capture required information

Policies and forms are delivered electronically in WORD for your easy customization.


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