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Pay-to-Play Violations | Maxwell Baker Insights
Vigilant Insights Introduction A Texas Firm was charged a $95,000 penalty on August 19th for violating the Pay-to-Play Rule. This occurred because an employee had donated over $7,000 to an elected official who’s […]
Read MoreCompliance Risks from Political Contributions | Donna DiMaria Insights
VIGILANT INSIGHTS Introduction The Pay-To-Play Rule for Investment Advisors provides on-going compliance difficulties for Firms, especially in an election year. This topic can be complex […]
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