With the recent market volatility, an increasing number of clients are asking questions about the markets, their portfolios, and specific securities. In answering these questions, advisers need to be mindful of issues such as selective disclosure, preventing the misuse of material nonpublic information, codes of ethics, and the firm’s own policies and procedures. The panel will discuss these issues and provide some practical tips to assist in answering client questions. Participants will have an opportunity to ask questions during the webinar.
Sara Crovitz, Partner at Stradley Ronon Stevens & Young, LLP, provides counsel on all aspects of investment company and investment adviser regulation. She also is part of a team serving as counsel to independent trustees of a number of business development companies and closed-end funds. Prior to joining Stradley Ronon, Sara was Deputy Chief Counsel and Associate Director at the U.S. Securities and Exchange Commission in Washington, DC. 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. Sara received her B.A. from the University of Chicago, and received her law degree from the University of Chicago Law School.
Lawrence Stadulis, Partner at Stradley Ronon Stevens & Young, LLP, advises clients in matters pertaining to the registration and regulation of investment advisers and investment companies under federal and state securities laws. He also manages related issues pertaining to investment advisers and investment companies, including matters involving ERISA, brokerdealer regulation and banking laws. Before joining Stradley Ronon, Larry was a partner with another prominent law firm. Prior to that, he was special counsel in the Office of Chief Counsel, Division of Investment Management, U.S. Securities and Exchange Commission. As special counsel, Larry was principally responsible for responding to no-action and interpretive requests under the Investment Company Act of 1940 and Investment Advisers Act of 1940. Lawrence received his B.A., magna cum laude, from Boston College, and received his law degree from Boston College Law School.
Sarah Buescher joined the Investment Adviser Association in 2017 as Associate General Counsel. She is responsible for ERISA and pension issues as well as core Investment Advisers Act issues. Before joining the IAA, Ms. Buescher 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. Between 1999 and 2009, Ms. Buescher 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. She earned her B.S. in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame Law School.
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Members and 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 April 3. Contact email@example.com to purchase the recording ($250).
For questions regarding this webinar, contact the IAA at (202) 293-4222 or email firstname.lastname@example.org.