2019 Webinar - SEC Investment Adviser Standard of Conduct Interpretation

When:  Jun 27, 2019 from 3:00 PM to 4:00 PM (ET)

Panel Description

This webinar will review the SEC Interpretation regarding the standard of conduct for investment advisers. IAA staff will discuss each section of the interpretation and changes from the proposed interpretation, and will highlight key takeaways for advisers.

Questions may be submitted in advance to iaaevents@investmentadviser.org or during the webinar.

Speakers

Karen Barr is the 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. Karen is a member of the District of Columbia Bar.

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, when she moved to Washington. She is a member of the District of Columbia and Massachusetts bars.

Sarah Buescher is Associate General Counsel at the Investment Adviser Association. She is responsible for ERISA and pension issues as well as core Investment Advisers Act 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. The recording will be available within five business days after the webinar. 

Questions?

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