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Managing Political Contribution Monitoring and Pay-to-pay compliance with illumis, a ComplySci Company

May 4 – 18, 2022
5:30 PM - 6:30 PM EDT

Presentation Description:

Federal midterm elections are right around the corner, but even in non-election years there are still hundreds of state and local elections across the country. Pay-to-play regulations restrict political contributions from employees of many types of firms, and these regulations span a complex network of regulatory bodies including the SEC, FINRA, MSRB, CFTC, as well as state and local requirements.

In this session, our product team will review illumis, a ComplySci Company’s unmatched political contribution monitoring solution. Learn how to monitor for undisclosed political contributions and potential pay-to-play violations with illumis’ comprehensive public data monitoring, customized alerts, and robust reporting.

This presentation is being showcased as part of the Spring 2022 Compliance Conference. To learn more, visit our main conference webpage.

These product sessions are not eligible for CE credits.

Coming soon.

For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers.

These product sessions are not eligible for CE credits.

For more information, check out the NRS Continuing Education Guide.