- illumis Welcomes New Client: Pillar Compliance Group arrow_forward David Lombardy recently launched his own regulatory and compliance consulting firm, Pillar Compliance Group, to assist investment managers with the development, implementation, and ongoing monitoring of their compliance programs. In reviewing the regulatory environment around pay-to-play compliance, he saw the value in using illumis’ political contribution monitoring platform to provide the best risk coverage available for his clients.
- Blucora / Ancora Proxy Fight Highlights Reputation Risks of Pay-to-Play Violations arrow_forward For the last few months, Blucora – a FinTech company providing software solutions for wealth management and tax preparation – has waged a war against Ancora, an Ohio-based investment advisor who had acquired a minority stake in the company and sought to reconstitute Blucora’s board.
- illumis Compliance Product Update: Entity Search arrow_forward We’re continually updating our compliance platform to better serve our customers. We’re excited to highlight the newest functionality in our latest feature update.
- Webinar Recap: Pay-to-Play Compliance and the 2020 Election arrow_forward We recently hosted a webinar around pay-to-play compliance with two experts on the topic—Ki Hong of Skadden, Arps, Slate, Meagher & Flom, and Heather Traeger of TRS, where we covered important, timely issues around the 2020 election. Given the complexity of pay-to-play regulations and potential severity of penalties for violations, as well as the historic political involvement in this election cycle, understanding and monitoring for these risks has never been more important.
- illumis Compliance Product Update: Workday Integration & Zero Records Filter arrow_forward We’re continually updating our political contribution compliance platform to better serve our customers. We’re excited to highlight the most recent additions in our latest feature update.
- New Report Highlights Potential 2021 Pay-to-Play Enforcement Risks arrow_forward Last month, Compliance Week highlighted some of the compliance considerations for investment advisors (and other regulated firms) around the 2020 elections in a piece headlined “SEC ‘pay-to-play’ enforcement surge projected in 2021”. The article notes that tomorrow’s elections have spurred a massive wave of contributions - and are likely to also trigger a new wave of SEC enforcement.
- illumis Compliance Product Update: Introducing Dashboard Graphics arrow_forward We’re continually updating our political contribution monitoring platform to better serve our customers. With the election around the corner, we’re excited to introduce our latest feature update:
- illumis Webinar: Pay-to-Play Compliance & the 2020 Election arrow_forward We’re excited to host a webinar regarding pay-to-play compliance around the 2020 election! Please join our team on October 28th at 4 p.m. ET for a conversation with two experts on the subject. We will focus on some of the complexities of pay-to-play law and political contribution compliance and hear from the experts on best practices as well as emerging areas of risk. You can find more details about our guests below and to register, please click here.
- Wall Street Journal Article Highlights Growing Push to Equip Compliance Teams with Data Solutions arrow_forward Yesterday’s Wall Street Journal highlighted the increasing emphasis and implementation of data analytics and monitoring tools in corporate compliance programs.
- Releasing our U.S. House Candidate Research Report arrow_forward Yesterday, we released our second research report to help compliance teams navigate political contribution regulatory compliance. Download our 2020 Candidate Research Report on U.S. House Candidates here!
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