PAY TO PLAY COMPLIANCE MEASURES. Aristotle (David Mason): “What is surprising, given Keith’s very active history of contributions to politicians in positions to influence investment decisions, is that apparently no one in a compliance role at the firm set up a pre-contribution screening system to prevent violations of SEC Rule 206(4)-5 which prohibits certain campaign […]
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- Post author By Eric Brown
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- Categories In A.M. Report, Colorado, FEC, HLOGA, LDA, Louisiana