The SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a timely reminder for fund managers, especially with the November elections approaching.
As a refresher, Rule 206(4)-5 of...more
5/29/2024
/ Compliance ,
Employee Training ,
Enforcement ,
Exempt Reporting Advisers (ERAs) ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Pay-To-Play ,
Political Contributions ,
Private Equity Firms ,
Securities and Exchange Commission (SEC) ,
Settlement