The Political Contribution Disclosure Statement serves as an important part of an investment adviser’s overall compliance program.  In accordance with SEC Rule 206(4)-5 and/or applicable state requirements, investment advisers are prohibited from providing advisory services for compensation to a government client for two years after the adviser or certain of its executives or employees make a contribution to certain elected officials or candidates.  The Disclosure Statement allows for such persons to disclose and report political contributions to the firm for review and ongoing monitoring in compliance with applicable requirements. Members also downloaded Political Contributions Log.

Version/Update: V.2/September 27, 2018

Total Page Count: 2

Source/Author(s): Connexien