Even in a non-election year, Pay-to-Play requirements remain a priority for compliance teams. Companies that do business with state, local, and federal governments are still subject to the Pay-to-Play regulations. Navigating these regulations can be challenging, and it is critical to understand the rules, their impact, and how to ensure full compliance.
In this webinar, Eric Swick, Director, Compliance and Regulatory Consulting at Duff & Phelps, Anthony Parsio, General Counsel & Chief Compliance Officer at Hedgeye Risk Management, LLC, and Jordan Robb, Senior Product Manager at ComplySci discuss best practices around Pay-to-Play compliance and ways to streamline processes.
Duff & Phelps
Director, Compliance and Regulatory Consulting
Eric has worked closely with a number of hedge fund advisers, private equity advisers and traditional registered investment advisers during all phases of their business cycle, including registering with the SEC, establishing compliance infrastructures, assisting with the ongoing implementation of such compliance programs as well as conducting mock audits.
Eric joined Duff & Phelps as a result of Duff & Phelps’ acquisition of Kinetic Partners. Prior to joining Kinetic Partners, he spent time in the financial services industry, both in a sales and trading roles in fixed income, as well as in investment adviser due diligence.
Eric received his undergraduate degree in economics from Harvard, his MBA from the University of Nevada Las Vegas and his M.Ed. from Rutgers. He holds FINRA Series 7 and 66 licenses.
Hedgeye Risk Management, LLC
General Counsel & Chief Compliance Officer
Senior Product Manager
Jordan joined ComplySci in early 2021 as a Senior Product Manager. He currently oversees the strategic vision and roadmap of our Political Contribution Verification solutions.
With over eight years of expertise within the financial, compliance, and risk management sectors, Jordan brings to his work a singular passion for product evangelism. Prior to joining the ComplySci family, his work at Finastra resulted in several highly successful product launches.