A recent Regulatory Compliance Association (RCA) seminar offered a comprehensive overview of the rules pertaining to marketing to public pension plans relevant to investment advisers. The seminar featured David Y. Dickstein, partner at Katten and an RCA Senior Fellow from Practice. This article, the second in a two-part series, examines honest services fraud; use of solicitors and placement agents; lobbyist registration; and disclosure, recordkeeping and other requirements applicable to doing business with public plans. The first article discussed municipal advisor registration; political contributions; and gifts and entertainment. For more from the RCA, see “Risks With Investment Allocation, Trade Execution, Soft Dollars, Client Solicitation and Valuation” (Apr. 14, 2016); and “Issues Pertaining to the Custody Rule, ERISA, Client Agreements, Fees, Codes of Ethics and Confidentiality” (Apr. 7, 2016). On May 8, 2019, the RCA will host its Enforcement, Compliance & Operations Symposium in New York City. For additional information or to register for the symposium, click here.