People in the News—Aug. 19, 2022—Stradley Ronon, Buchanan Ingersoll
Stradley Ronon Stevens & Young announced that associate Jennifer Hillman co-presented "Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements" at this year's Investment Adviser Core Compliance Program Symposium on Tuesday.
August 19, 2022 at 11:00 AM
3 minute read
On the Move
Stradley Ronon Stevens & Young associate Jennifer Hillman. Courtesy photo
Speakers
Stradley Ronon Stevens & Young announced that associate Jennifer Hillman co-presented "Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements" at this year's Investment Adviser Core Compliance Program Symposium on Tuesday.
Her presentation focused on the SEC's anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940, which lays the regulatory foundation of the adviser's relationship with its clients. These rules prohibit advisers from defrauding, deceiving or manipulating any client or prospective client in their business practices.
The presentation also discussed Rule 206(4)-5, known better as the "pay to play" rule, designed to stop investment advisers from making campaign contributions with the hope of winning contracts to manage government investment accounts or public pension plan assets.
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