Les Abromovitz, Columnist

SEC's new pay-to-play rules call for you to investigate your employees' political giving

Les Abromovitz: Working on an elected official or candidate’s campaign may also fall within the definition of “contribution” found in the pay-to-play rule.

National Compliance Services

pay-to-play

Les Abromovitz

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government 

SEC's new pay-to-play rules call for you to investigate your employees' political giving

Related Moves

November 18, 2022 at 2:56 AM

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