Elections, Political Law And The Financial Services Sector

Law360, New York (April 1, 2014, 7:17 PM EDT) -- With another election season upon us, it is an appropriate time for compliance and other officers for financial services firms to assess whether their compliance policies and procedures fully capture activities that could be covered by various political law regimes.

Those in the financial services sector run up against political law regimes on a daily basis, and recent changes in campaign finance law provide some level of uncertainty as to what can and cannot be done (i.e., super PACs, joint fundraising committees, aggregate limits or lack thereof). Besides federal campaign finance limits, firms will need to keep track of:

State and...

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