PHILADELPHIA – Stradley Ronon is pleased to announce that Associate Jennifer Hillman co-presented “Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors, and Proxy Voting Requirements” at this year’s Investment Adviser Core Compliance Program Symposium on August 16. Her presentation focused on the SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940, which lays the regulatory foundation of the adviser’s relationship with its clients.
These rules prohibit advisers from defrauding, deceiving or manipulating any client or prospective client in their business practices. The presentation also discussed Rule 206(4)-5, known better as the “pay to play” rule, designed to stop investment advisers from making campaign contributions with the hope of winning contracts to manage government investment accounts or public pension plan assets.
Hillman is a member of Stradley Ronon’s investment management group and focuses her practice on representing investment companies, investment advisers, financial institutions and broker-dealers in connection with various regulatory, compliance, investment servicing and transactional issues. She counsels investment management clients in all aspects of legal representation, including preparing regulatory filings, drafting and reviewing registration statements and proxy solicitation materials and researching various securities and corporate law issues.
About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in seven strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.