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Pay-to-Play Rules & Revenue Sharing: A Best Practices Guide

    

 

Pay-to-Play Rules & Revenue Sharing: A Best Practices Guide

This webinar focused on distribution-related conflicts of interest with a focus on pay-to-play and revenue sharing. The webinar also addressed recent pay-to-play cases involving government officials and SEC Rule 206(4)-5. Finally we also discussed how the SEC seeks to limit various forms of revenue sharing received by advisers. The webinar was co-hosted with Todd Cipperman of Cipperman Compliance Services, LLC.

You can access the slides from this webinar here.

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