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Political Contributions and Prohibitions on the Municipal Securities Business

  March 08, 2013  
ComplianceOnline, Online Event

This municipal securities compliance training will clearly explain the MSRB (Municipal Securities Rulemaking Board) Rule-37, discuss the key elements of political contribution restrictions and prohibitions on the municipal securities business, disclosure requirements, violations and how to prevent them.

Why Should You Attend:

The Municipal Securities Rulemaking Board (MSRB) Rule G-37 was enacted to ensure the standards and integrity of the municipal securities industry are maintained and to detect and prevent fraudulent activities and violations. The rule's complexities have caused several firms to violate its requirements, resulting in bans in negotiated and/or financial advisory business as well as payments of very large fines.

Areas Covered in the Seminar:
  • Political contribution restrictions.
  • How a BAN on the municipal securities business works if a political contribution violation occurs.
  • What individuals are covered and require compliance with MSRB Rule G-37.
  • Regulatory guidelines on immunogenicity of biologics; FDA, ICH, CHMP, EMEA.
  • Prohibition on soliciting and coordinating/bundling political contributions.
  • Prohibited from circumvention the Rule.
  • Indirect contribution.
  • Political party payments.
  • Disclosure requirements on political contribution and municipal securities business activities.
  • Real-world case studies.
Organized by: Complianceonline
Invited Speakers: Kimberly McManus, is currently President of Alternative Regulatory Solutions, LLC (ARS), a compliance consulting firm she founded in July 2009 that has created unique training modules for specific MSRB Rules. Ms. McManus has extensive experience in fixed income compliance, with expertise in the municipal market. In her latest role as Managing Director of Municipal Compliance with Wachovia Corporation, she was responsible for assessing and managing regulatory risk for public finance/government banking, bond trading and syndicate, sales (both institutional and retail), operations, and derivative/structured products within the Municipal Products Group. Ms. McManus was extremely instrumental in regulatory exams, inquires and investigations with the IRS, SEC, OCC, DOJ, FINRA and States Attorney General Offices.
Deadline for Abstracts: 2013-03-27
Registration: http://www.complianceonline.com/ecommerce/control/trainingFocus/~product_id=702798?channel=Hummolgen
E-mail: referral@complianceonline.com
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