SEC placement agent rule takes affect

Thu Sep 16, 2010

Read more:




After the pay to play allegations at a number of US public pension plans, the US Securities and Exchange Commission’s new rule regulating placement agent relationships became effective on 13 September.

The new rule prohibits an investment adviser from providing advisory services for compensation to a government client for two years after the adviser or its executives or employees make a...

ISSN: 2151-1845 / CDC10004H

Register

By registering you will receive

  • A monthly newsletter on your specified areas of interest
  • A fortnightly update on the sector

Free Trial

Take a trial today and access

  • Performance news, fund launches, regulation changes and people moves
  • Profiles of fund managers, investors and distributors
  • Live league tables
  • Investor mandates


Popular Searches on HFI