Pay-To-Play Deal Shows Need For Strong Compliance Policies

By Benjamin Neaderland, Joseph Toner and Thomas Bredar (May 14, 2024, 3:23 PM EDT) -- With political campaign activity ramping up as the fall elections approach, the U.S. Securities and Exchange Commission has indicated that it will continue stringent enforcement of Investment Advisers Act Rule 206(4)-5, also known as the pay-to-play rule....

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