2019 Webinar - SEC Proxy Guidance for Investment Advisers

When:  Oct 17, 2019 from 2:00 PM to 3:00 PM (ET)

Panel Description

This webinar will review the SEC Guidance regarding the proxy voting responsibilities of investment advisers. Sara Crovitz, Partner at Stradley Ronon Stevens & Young, LLP, Mari-Anne Pisarri, Partner at Pickard Djinis & Pisarri LLP, and Sarah Buescher, Associate General Counsel at the IAA, will discuss each element of the guidance and key takeaways for advisers to consider in reviewing their proxy voting policies and procedures.

Speakers

Sara Crovitz is a Partner with Stradley Ronon Stevens & Young, LLP. She provides counsel on all aspects of investment company and investment adviser regulation. Prior to joining Stradley Ronon, Sara was Deputy Chief Counsel and Associate Director at the U.S. Securities and Exchange Commission in the Division of Investment Management. Sara worked at the SEC for 21 years, including 17 years in the Division of Investment Management focusing on issues under the Investment Company and Investment Advisers Acts of 1940. While in the Division, Sara supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates, and other written and oral means. She received her B.A. from the University of Chicago and her J.D. from the University of Chicago Law School.

Mari-Anne Pisarri is a Partner with Pickard Djinis & Pisarri LLP. She specializes in regulatory issues pertaining to investment advisers, NRSROs (registered credit rating agencies) and service providers to the securities industry. In this regard, she advises clients on federal and state securities laws and rules, and related ERISA matters; processes registrations for financial market participants; designs compliance programs and assists with both internal compliance reviews and SEC compliance examinations; advances clients’ interests before regulatory and policy making bodies; and represents regulated entities in disciplinary proceedings. In addition, Ms. Pisarri speaks and writes extensively on securities regulatory issues. Before joining Pickard Djinis and Pisarri in 1985, Ms. Pisarri was an associate at Cladouhos & Brashares in Washington, DC, where she worked on a range of regulatory and international business matters. She also was involved in litigation in federal and state courts, including major customs litigation before the Court of International Trade.

Sarah Buescher is Associate General Counsel at the Investment Adviser Association. She is responsible for core Investment Advisers Act issues as well as ERISA and pension issues. Before joining the IAA, Sarah served as a Branch Chief in the Investment Adviser Regulation Office in the SEC's Division of Investment Management. She also worked in the SEC's Office of the General Counsel and started her legal career in the SEC's Division of Investment Management. Sarah also has industry experience. Between 1999 and 2009, she worked at Vanguard, first in the Legal Department as Associate Counsel and Senior Counsel, and later as Manager of International Compliance in Vanguard's Compliance Department. Sarah earned her B.S. in Communication Studies from Northwestern University in 1989, and her J.D. from the University of Notre Dame Law School in 1994. She is a member of the District of Columbia Bar.

Registration

Registration for the live webinar has closed.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. The recording will be available within five business days after the webinar. 

Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recording will be available for purchase after October 17. Contact iaaevents@investmentadviser.org to purchase the recording ($250).

Questions?

For questions regarding this webinar, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.