Investment managers that solicit investment assets from public pension systems need to consider a broad array of federal, state and local laws that may govern the marketing to such pension plans. These federal, state and local laws are far from uniform, and investment managers must assess the applicable restrictions with respect to each public pension system whose funds they seek to manage. This webinar discussed the following topics related to marketing investment management services to public pension plans:
- Federal pay-to-play restrictions under the Investment Advisers Rule 206(4)-5 and FINRA Rule 2030;
- State and local pay-to-play laws and restrictions on gifts and entertainment;
- Restrictions on the user of solicitors;
- State and local lobbyist registration requirements; and
- Pre- and post-contractual disclosure requirements
EVENT DETAILS
Tuesday, January 29, 2019
4PM to 5:15PM (ET)
CLE|1.5 CLE Credit Hour available for NYS Transitional and Non-Transitional – Areas of Professional Practice.
SPEAKERS:
- David Y. Dickstein, Partner, Katten Muchin Rosenman LLP
- Elliot Ganz, LSTA, Intro
- Richard Marshall, Partner, Katten Muchin Rosenman LLP
- Amanda Segal, Partner, Katten Muchin Rosenman LLP
