Custody and Pay to Play Rules Plus Solicitors and Proxy Voting Requirements for Investment Advisers (a National Regulatory Services webinar)

November 15, 2011


  • Comply with the custody rule amendments and employ custody best practices to meet new anti-fraud prohibitions
  • Be conversant with the newly adopted pay-to-play rule to avoid illegal and unethical consequences that affect investors and the firm's sustainability
  • Integrate solicitor and proxy voting rule requirements with the firm's compliance program to help establish full and fair disclosure
  • Pinpoint the SEC areas of concern that should drive required written compliance policies and procedures
  • Monitor regulatory changes as they occur