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Navigating Pay-to-Play Rules and Other Considerations with Public Pension Plan Clients

November 02, 2023 from 1:00 PM to 2:00 PM (ET)

This webinar will shed light on the pay-to-play rules in the presidential election cycle, as well as other considerations related to public pension plan investors, including lobbying requirements and disclosure obligations. The speakers will provide practical guidance on how to address these concerns. Our panel includes Sonia R. Gioseffi, partner at Dechert LLP; Derek Manners, associate at Dechert LLP; and Monique Botkin, associate general counsel at the IAA.

Learn about:

  • Pay-to-play rules that apply to advisers and their employees
  • Application of procurement lobbying laws to advisers and their employees
  • Rules around gifts and entertainment to pension plan clients
  • How to manage these requirements operationally
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If you have questions about this webinar or need help registering, please contact Lisa Gillette at lisa.gillette@investmentadviser.org.

Webinar Speakers

Sonia Gioseffi is a partner in Dechert’s financial services group. She focuses her practice on investment fund management, advising clients on regulatory, transactional and ongoing compliance matters involving state and federal securities laws. She has significant experience counseling private fund sponsors regarding the structuring, formation and ongoing regulatory requirements. Gioseffi also regularly advises managers and placement agents concerning “pay-to-play” and lobbying requirements under federal, state and local laws. She earned a B.A. from University of California, Santa Cruz, B.A.,and an LL.M. and J.D. from Cornell Law School.

Derek Manners is an associate in Dechert’s financial services group. His practice focuses on advising investment advisers and broker-dealers on compliance with the federal securities laws and regulations and on compliance with the rules of SROs, including FINRA. He has extensive experience advising on investment adviser and broker-dealer regulation, including all facets of ongoing compliance matters, policies and supervisory procedures. Manners also regularly advises financial institutions concerning lobbying, gifts and entertainment, and “pay-to-play” requirements under federal, state, and local laws. He earned his B.A. in Economics and Government summa cum laude from University of Texas at Austin and his J.D. from Harvard Law School.

Monique S. Botkin is associate general counsel of the IAA. Prior to joining the IAA in 2004, she was an associate in the financial services groups at Dechert LLP in Newport Beach, California, and Alston & Bird LLP in Washington, DC. While in private practice, Botkin represented investment advisers, registered investment companies, private funds, and broker-dealers in corporate, securities and investment management matters. Botkin also served as an attorney in the SEC’s Division of Investment Management disclosure review office from 2013 to 2014. She earned her B.A. in government and politics from the University of Maryland at College Park and her J.D., cum laude, from Southwestern University School of Law in Los Angeles, where she was an editor of the Law Review.  

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