Whoever wins the White House and congressional races, there is sure to be policy change ahead. What does the future hold for retirement savings and tax policy, ESG investing, electronic delivery, and other critical issues? This panel of IAA senior management will explore the ramifications of the election results for investment advisers and their clients.
Karen Barr is President and CEO of the Investment Adviser Association. She received her B.A. degree, magna cum laude, from the University of Pennsylvania in 1985 and her law degree, cum laude, from the University of Michigan in 1988, where she was an editor on the Journal of Law Reform. After law school, Karen served as law clerk to the Honorable Walter E. Black, Jr., a federal judge on the U.S. District Court for the District of Maryland. From 1989 until March 1997, when she joined the IAA, Karen was in private practice at the Washington, D.C. law firm Wilmer, Cutler & Pickering, where she represented clients with respect to SEC investigations, securities class action litigation, administrative proceedings, internal corporate investigations, and securities regulatory matters.
Gail Bernstein is General Counsel at the Investment Adviser Association. She joined the IAA from the law firm of WilmerHale in Washington, DC, where she had been a Special Counsel in the Securities Department from 2008 until June 2017. Prior to that, Gail was first an associate and then a partner at Wilmer, Cutler & Pickering (now WilmerHale) in Washington, DC. While in private practice, Gail counseled clients on all aspects of financial and securities regulation, with a specific focus on the Dodd-Frank Act and securities and derivatives law and compliance. Gail grew up in South Africa and earned her B.A. from the Hebrew University of Jerusalem in 1982 and her law degree from Harvard Law School in 1988. After law school, Gail clerked for the Honorable Douglas P. Woodlock of the U.S. District Court for the District of Massachusetts and was an associate at the Boston law firm of Mintz Levin from 1989-1990.
Neil Simon is Vice President for Government Relations at the Investment Adviser Association. For three years before joining the IAA in early 2007, he served as Director of Government Relations for the Financial Planning Association. From 1998 to 2003, he was Executive Director of the National Franchise Council where he lead an innovative partnership between industry and federal regulators. Prior to that, he served as a legislative director in the U.S. House of Representatives and, subsequently, was counsel to the Washington, D.C. law firm of Hogan & Hartson LLP (now known as Hogan Lovells). Neil received his B.A. Magna Cum Laude in government and international relations from Clark University in Worcester, Mass and his Juris Doctorate from Georgetown University.
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