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Mark Renaud Tells Compliance Reporter That Investment Advisors Must Know the New SEC Rules on Campaign Contributions
For Compliance Reporter's "Ask an Attorney" section, Wiley Rein Election Law & Government Ethics partner D. Mark Renaud authored an opinion piece on the Securities and Exchange Commission's new rules covering political contributions made by investment advisors (IA). Mr. Renaud focused on the new policies and procedures IAs will need to enact to comply with the far-reaching pay-to-play rules. Among other things, Mr. Renaud reminded financial services companies that compliance with the SEC's rules does not necessarily equate to compliance with the myriad of state and local pay-to-play laws that are equally applicable and many times broader in coverage.