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Legal and compliance

Pay to play rule

Also known as Rule 206(4)-5

A US rule that limits advisers from earning fees from a government client after certain political donations.

If the manager or certain employees give to officials who can influence a public plan, the adviser can be barred from receiving compensation from that plan for two years. It also restricts paying third parties to solicit government investors.

Why it matters when you raise
Check your team's political giving before you approach any public pension.
Related terms
Pension fundPlacement agentSEC Marketing Rule
In the field notes
SEC Proposes Scrapping the Adviser Pay-to-Play Rule: What GPs Raising From Pensions Should Do
Compliance
Read the field notes →Browse the full glossary →