How Fund Managers Can Avoid Political Contribution Missteps

Law360 (January 15, 2021, 4:36 PM EST) -- As the presidential inauguration and the end of the current election cycle approach, fund managers should stay abreast of the U.S. Securities and Exchange Commission's and state regulators' rules on when fund managers, and their staff, can make political campaign contributions and market to public pension plans to avoid running afoul of inadvertent lobbying and pay-to-pay violations, as well as fraudulent quid pro quo misconduct.

Peter Chan is a partner at Baker McKenzie and former assistant director at the U.S. Securities and Exchange Commission's Public Finance Abuse Unit.

Suzan Rose is a senior adviser to the Alternative Investment Management Association.

Karl Paulson...

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