Resources
- Trends in the political contribution compliance space: how to navigate FINRA and SEC pay-to-play rules in 2023 arrow_forward Pay-to-play rules and regulations, including the well-known Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) pay-to-play-rules, have become a focal point for compliance teams navigating the midterm elections in 2022. However, even in off years, or years with no major elections, for those firms who rely heavily on government contracted work, political contribution compliance can’t just turn off.
- Six features your PCV platform should include to comply with SEC political contributions compliance requirements arrow_forward Ensure employees aren’t putting your firm at risk of reputational damage or costly violations by integrating a political contribution compliance platform into your tech stack.
- Illuminating our path forward: illumis, inc. is now a COMPLY company arrow_forward The news is out! illumis, inc. is now a COMPLY company! We’re incredibly excited about the new opportunities and benefits, this brings for you, our customers, and our organization.
- What you need to know about the major federal pay-to-play regulations and the future of local regulations arrow_forward Pay-to-play regulations (and associated risk) doesn’t simply turn off during the off-election years.
- Pay-to-play compliance: Top five takeaways from the political contribution risks webinar arrow_forward Fact: political contributions are on the rise.
- Pay-to-play rules in 2022: five risk areas that your firm cannot afford to overlook arrow_forward Political activism is at an all time high. And with it? The pay-to-play risk for financial firms who rely on government contracted work. As the number of state and local pay-to-play rules increase, so do the number of stipulations compounding the complexity for firms potentially already struggling with the risk of violation. Not only do firms have to worry about complying with commonly known federal regulations like the SEC and FINRA pay-to-play rules, but also additional, specific state or local rules.
- Pay-to-Play Compliance: Off Years Still See Increase in Political Contributions arrow_forward Early last year, we published a blog citing multiple statistics on the rapid influx in political contributions, specifically showcasing an increase on the federal level – unsurprising, given that 2020 was a presidential election year.
- Pay-to-Play Compliance Update: Delaware County Most Recent Locality to Institute New Pay-to-Play Regulations arrow_forward Starting April 1, 2022, Delaware County will join the growing number of municipalities and localities implementing increased pay-to-play regulations. As reported back in January 2022, this is one more instance within a larger trend of pay-to-play regulations continuing to move local.
- Pay-to-play Regulations Continue to Move Local arrow_forward Pay-to-play regulations are becoming increasingly difficult to manage as they continue to move beyond just federal and state laws. We saw this recently in a City Council decision in Pennsylvania:
- SEC Investigates Links Between Money Managers and Major Pension Fund arrow_forward A new Bloomberg report alleges the SEC is investigating the relationships between the $66 billion Pennsylvania state pension fund and major investment managers. The SEC issued a subpoena this month to gather details on gifts exchanged between major firms such as Blackstone, The Carlyle Group, Morgan Stanley, Apollo Global, and Hamilton Lane, and executive members of the state pension fund.