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Searching Content indexed under Finance and Banking by Joseph Seliga ordered by Published Date Descending.
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Recent Developments on California Lobbyist Registration Requirements Applicable to Certain Placement Agents
The California Fair Political Practices Commission (FPPC) recently released two Advice Letters, dated April 7, 2011, and April 20, 2011, setting forth certain clarifications with respect to AB 1743, which was signed into law on September 30, 2010.
United States
 
16 Jun 2011
2
California Imposes Lobbyist Registration Requirement and Contingency Compensation Prohibition on Certain Placement Agents
California Assembly Bill No. 1743 (AB 1743) was introduced in response to investigations into alleged corrupt practices involving the use of placement agents with respect to public retirement systems or pension funds.
United States
 
2 Nov 2010
3
SEC Adopts Advisers Act Pay-to-Play Rule Relating to Government Plans
The US Securities and Exchange Commission (SEC) recently took action to curb pay-to-play abuses with respect to investment advisory services for any "plan or program of a government entity"; essentially, any state or local pension funds, retirement systems or other government plans (all referred to herein as government plans).
United States
31 Jul 2010
4
SEC Joins State and Local Governments in Considering Regulation of Investment Adviser Activities Related to Government Plans
In response to investigations into alleged corrupt practices involving the use of placement agents with respect to public pension funds, retirement systems and other government fund entities, both the Illinois legislature and the New York State Comptroller took action in April of this year to restrict the use of placement agents.
United States
16 Oct 2009
5
Sweeping Pension System Reforms Adopted in Illinois; Bans on Pension System Placement Agents and Lobbyists in New York
April 2009 saw the adoption of sweeping pension system reforms in Illinois and New York State that will have a significant effect on investment advisers, managers and consultants.
United States
1 May 2009
6
New Illinois Campaign Contribution and Registration Requirements May Affect Investment Funds and Managers
Two new procurement and campaign contribution regulations, P.A. 95-971 (the "New Ethics Law") and Executive Order No. 3 (2008) (the "Executive Order"), are in effect in Illinois as of January 1, 2009.
United States
3 Feb 2009
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