IA- Investment Adviser Political Contributions Log

The Political Contributions Log serves as an important part of an investment adviser’s overall compliance program.  In accordance with SEC Rule 206(4)-5 and/or applicable state requirements, investment advisers are prohibited from providing advisory services for compensation to a government client for two years after the adviser or certain of its executives or employees make a contribution to certain elected officials or candidates. The Log allows advisory firms to record, track and monitor political contributions by its executives or employees in compliance with applicable requirements. Members also downloaded Political Contribution Disclosure Statement.

Version/Update: V.2/September 27, 2018

Total Page Count: 2

Source/Author(s): Connexien