New Challenges in Marketing to Public Sector Clients: Lobbying Regulations, Pay-to-Play and a Special Focus on California Regulations
10:15 AM – 11:30 AM
Friday, October 12
Steven Insel, Benette Zivley
Some states – including California – have adopted laws that require certain investment advisory personnel to register as lobbyists in order to market advisory services to certain public entities. The SEC has adopted complex and onerous rules regarding political contributions by advisers and their “covered associates”. Adviser that have (or want) public clients need to attend this session. We will pay special attention to advisers who market to California state pension systems (such as CalPERS and CalSTRS) and local California pension systems (such as LACERA).
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