Political Contributions and Pay-to-Play
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1 Political Contributions and Pay-to-Play September 19, 2018 Senior Practice Fellow: K. Susan Grafton, JD, Partner, Dechert Guest Lecturers: Brenden Carroll, JD, Partner, Dechert Erik Strom, Director, Government & Community Relations, Russell Investments
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12 Regulatory Leaders Endorse RCA 12
13 Regulatory Leaders Endorse RCA 13
14 Industry Leaders Endorse RCA 14
15 Introduction to Pay-to-Play Practices and Regulation 15
16 Overview of Regulatory Landscape MSRB Rule G-37 Pay-to-Play SEC Rule 206(4)-5 FINRA Rule
17 MSRB s Pay-to-Play Rule i. Ban on Municipal Securities Business or Municipal Advisory Business What is a Contribution? Are there any exemptions? Reporting and Recordkeeping Requirements? Who is covered? Consequences for violations? Municipal Finance Professionals Vs. Municipal Advisor Professionals i. Registered Brokers, Dealers and Municipal Securities Dealers Who is an Official? Prohibition on Soliciting and Coordinating Contributions and Payments Prohibition on Circumvention of Rule ii. Registered Municipal Advisors 17
18 FINRA s Pay-to-Play Rule Prohibition on Soliciting, Coordinating Contributions & Payments Prohibition on Circumvention of Rule Who is covered Registered Brokers & Dealers that are not acting as Municipal Advisors Reporting & Recordkeeping Requirements Are there exemptions Rule 2030 Violation consequences? What are Covered Associates Ban on Distribution & Solicitation Activities for Compensation Covered Investment Pool Who is an official What is a Contribution 18
19 SEC s Pay-to-Play Rule Who is covered? i. Registered Investment Advisers ii. Foreign Private Advisers iii. Exempt Reporting Advisers What are the Consequences for Violations? i. Ban on Investment Advisory Services for Compensation What are Covered Associates? What is a Contribution? Who is an Official? What is a Covered Investment Pool? 19
20 SEC s Pay-to-Play Rule continued Are there any Exemptions? What are the Reporting and Recordkeeping Requirements? Prohibition on Soliciting, Coordinating Contributions and Payments Prohibition on Paying Placement Agents (unless they are Regulated Persons) Prohibition on Circumvention of Rule Demonstrate Social Performance to external stakeholders 20
21 Common Questions QUESTIONS Contributions from Joint Checking Accounts Contributions to Political Action Committees, Political Parties & other Political Groups Contributions from Spouses Contributions to Federal Candidates Contributions of Corporate Resources and Other In-Kind Contributions Volunteer Work Fundraising Activities 21
22 Enforcement Actions 22
23 Building an Effective Compliance Program and Other Considerations Policies and Procedures Frequently Asked Questions Preclearance of Contributions and Political Activities Quarterly Questionnaires Periodic Surveillance 23
24 Building an Effective Compliance Program and Other Considerations continued Periodic Reminders and Training Employee Screening (for new hires & internal promotions) M & A and Lift Out Due Diligence Item Consider State and Local Pay-to-Play Laws Consider Employee Laws and Sensitivity of Information 24
25 Closing Thoughts 25
26 K. Susan Grafton, JD, Partner, Dechert 26
27 Brenden Carroll, JD, Partner, Dechert 27
28 Erik Strom, Director, Government & Community Relations, Russell Investments 28
29 Cindy Friedlander, Senior Director, Fixed Income Regulation, FINRA 29
30 30
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