The SEC has issued supplemental guidance regarding the proxy voting responsibilities of investment advisers. The guidance raises issues regarding advisers’ policies and procedures, agreements with proxy advisory firms, and disclosures to clients.
In this webinar, our expert panel will discuss each element of the guidance and key takeaways for advisers to consider in reviewing their proxy voting policies and procedures and disclosures. Our panel will also discuss observations from the proxy guidance issued by the SEC last August.
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.
Steven W. Stone is a Partner with Morgan Lewis & Bockius LLP. He is a securities lawyer who counsels clients on regulations governing broker-dealers, investment advisers and bank fiduciaries, and pooled investment vehicles. Head of the firm’s financial institutions practice, Steve counsels most of the largest and most prominent US broker-dealers, investment banks, investment advisers, and mutual fund organizations. He regularly represents clients before the SEC, both in seeking regulatory relief and assisting clients in enforcement or examination matters.
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.
Registration for the live webinar will close September 10 at 5 PM ET.
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 $150 (per computer logon). The recording will be available for purchase after September 11. Contact email@example.com to purchase the recording ($150).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email firstname.lastname@example.org.