Regulatory Compliance Association Reviews

Marketing Managed Accounts and Fund Interests to Public Pension Plans

Date: January 31, 2019
General Session: 12:00 PM ET to 1:30 PM ET
Location: Webcast (Free)

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Description

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 Session will discuss the following topics related to marketing investment management services and/or interests in
investment funds they manage to public pension plans:

  • Federal Pay-to-Play Restrictions under the Investment Advisers Act Rule 206(4)-5 and FINRA Rule 2030
  • State and Local Pay-to-Play Laws and Restrictions on Gifts and Entertainment
  • Restrictions on the use of Solicitors
  • State and Local Lobbyist Registration Requirements
  • Pre- and Post-contractual Disclosure Requirements
  • Municipal Adviser Registration Considerations

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

David Y. Dickstein, JD, Partner, Katten Muchin Rosenman LLP

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