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State and Local Pay-to-Play and Public Records Laws

Date: 7 March 2017
K&L Gates Presentation

Many investment managers routinely seek business from public pension plans and other government instrumentalities. But how many of them are aware of all of the local laws and regulations that affect the solicitation of business from such governmental entities or the fact that certain information submitted to them, either in connection with the procurement process or on an ongoing basis, may be publicly disclosed?

This program discussed these relevant laws and regulations, including:

  • Potential lobbyist registration requirements
  • State and local pay-to-play rules (and will compare and contrast them with the SEC pay-to-play rule, Advisers Act Rule 206(4)-5)
  • Restrictions on use of placement agents and/or payment of contingent compensation
  • Restrictions on gifts and entertainment and political contributions
  • Public records law considerations
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