1-Hour Program

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Overview

The 2020 elections will be here before you know it, so this is the time to review your SEC/FINRA pay to play compliance program to avoid becoming the next enforcement target. 

Please join Elli Abdoli, Partner at Nielsen Merksamer Parrinello Gross & Leoni LLP, for a discussion of timely topics, including:

  • Does your compliance program satisfy the requirements of SEC/FINRA pay to play rules?
  • Is your review process adequate?  Are you collecting the necessary information?  Are you capturing donations to politically engaged non-profits?
  • What’s the level of awareness of the program?  Are employees familiar with and complying with their obligations?
  • What are best practices and strategies for ensuring compliance? 

Program Level: Overview
Intended audience: In-house counsel, compliance officers, outside attorneys, and others with responsibility for internal or external government ethics or government relations compliance
Prerequisites: Interest in government ethics or government relations issues and compliance
Advanced Preparation: None

Credit Details