Webinar - Socially Responsible Investing: Legal and Compliance Issues


Webinar - Socially Responsible Investing: Legal and Compliance Issues

Friday, December 11, 2015
2:00 - 3:00 p.m. (ET)

Topics Covered

This webinar will identify and explore legal and compliance issues for investment advisory firms that invest assets under a socially responsible investing (SRI) mandate. The presentation will include discussion of:

  • Documentation of SRI Research/Investment Decisions
  • Implementation of Specific Client Guidelines
  • Proxy Voting and Proxy Advisor Issues
  • Special Issues for ERISA Plans


  • John L. Chilton, Partner, Sullivan & Worcester LLP
  • Ivy Wafford Duke, Acting General Counsel and CCO – Adviser and Distributor at Calvert Investments
  • Kathy D. Ireland, Associate General Counsel, Investment Adviser Association (Moderator)
  • Registration

    Registration for the live event has closed, but the recording can be ordered by clicking the "Register" button on this page.

    Live Recording Both
    Members and Associate Members Free Free Free
    Non-Members $250* $250 $475*

    *Per computer login


    For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

    About the Presenters

    John L. Chilton is Partner in the Investment Management Group in the Washington, D.C. office of Sullivan & Worcester. John’s practice focuses on the representation of both open-end and closed-end investment companies and their independent directors. He also advises investment advisers with respect to registration and compliance matters. John has substantial experience in the organization and offerings of closed-end investment companies and mergers of open-end investment companies. He also advises on Commodity Futures Trading Commission registration and compliance matters.
    Download to see image Ivy Wafford Duke is Acting General Counsel and Chief Compliance Officer – Adviser and Distributor at Calvert Investments. Ivy is responsible for providing legal advice on corporate and fund matters, general supervision of mutual fund filings for new funds, and administering the compliance programs of the Calvert-affiliated investment adviser and distributor. Previously she was an associate with Drinker Biddle & Reath, where she began her investment management practice. Ivy received her B.A. and J.D. from the University of Virginia, and her LL.M. in Securities and Financial Regulation from Georgetown University Law Center. She holds FINRA Series 7, 26 and 51 designations, and has earned the Claritas Investment Certificate from the CFA Institute.

    Kathy D. Ireland (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Kathy acted as an independent consultant focusing on pension and securities issues. Previously, she served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center.

    Paid Registration Cancellation or Substitution

    For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, December 9, 2015. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.