Ruth Delaney

Ruth Delaney

K&L Gates LLP

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Questions & Answers on State and Local Variations on the SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

3/7/2017 - Government Officials Investment Adviser Investment Advisers Act of 1940 Pay-To-Play Political Contributions Recordkeeping Requirements SEC

DOL Fiduciary Rule – What’s Next?

On an almost daily basis, there are developments regarding the status of the Department of Labor’s (“DOL”) fiduciary rule creating a climate of uncertainty. Stakeholders, such as financial institutions that serve retirement...more

2/20/2017 - DOL Employee Benefits ERISA Fiduciary Rule Popular Retirement Plan Trump Administration

Pennsylvania Treasurer Prohibition on Third-Party Placement Agents

The Treasurer of the Commonwealth of Pennsylvania has prohibited investment managers from using third-party placement agents for funds managed on behalf of the Commonwealth of Pennsylvania Treasury Department. The Treasury...more

2/9/2017 - Investment Adviser Retirement Retirement Plan SEC

Impact of Pay-to-Play Rules in the 2016 Election Cycle

The federal Pay-to-Play Rules may impact campaign contributions in the 2016 election and, in particular, campaign contributions to a major party’s presidential campaign. Financial institutions that do business with, or seek...more

8/19/2016 - CFTC Financial Institutions MSRB Pay-To-Play Political Contributions Presidential Elections SEC Trump Administration

DOL Finalizes The ERISA Fiduciary Regulation -- What It Means For Your Business

In the face of controversy and following thousands of comments from market participants and lawmakers, the Department of Labor (“DOL”) has finalized sweeping changes to the definition of “fiduciary” under the Employee...more

4/28/2016 - 401k Best Interest Contract Exemptions Best Interest Standard Conflicts of Interest DOL Employee Benefits ERISA Fiduciary Duty Investment Adviser Retirement Plan

Questions & Answers on State and Local Variations on SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

11/18/2013 - Investment Adviser Investment Advisers Act of 1940 Investment Management Lobbying Pay-To-Play Political Contributions SEC

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