Custody and Pay to Play Rules Plus Solicitors and Proxy Voting Requirements, presented for a National Regulatory Services Webinar
November 13, 2012
Morgan Lewis associate John J. O'Brien presented, "Custody and Pay to Play Rules Plus Solicitors and Proxy Voting Requirements," for a National Regulatory Services Webinar.
- 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