Posted under Conflicts of Interest,Placement Agents,political contributions,Regulation,SEC on July 8th, 2010 by Judith Gross
On the heels on several high profile scandals, the SEC has moved quickly to address “pay-to’play” practices in the hedge fund and investment advisory arenas. Last week, the SEC adopted new Rule 206(4)-5 limiting “pay-to-play” practices for investment advisers, including hedge fund investment advisers. The new Rule effectively prohibits the adviser from receiving compensation from [...]
Posted under Compliance Program,political contributions on May 8th, 2008 by Judith Gross
Over $8 million has been given to presidential candidates so far during this election season by hedge fund and private equity employees, according to data from the Center for Responsive Politics. (59/41, Dem/Rep by the way.) Compliance specialists need to consider how these contributions should be integrated into their compliance policies and procedures. Can you [...]
