Upcoming Webinars


Upcoming IAA Webinars

The IAA Webinar Series covers critical topics of special interest to SEC-registered investment advisers.

Following is a list of our upcoming webinars:

DOL Fiduciary Exemption:Compliance Issues for Investment Advisers

Tuesday, March 16, 2021
2:00 - 3:00 PM ET

The Department of Labor recently announced that the fiduciary exemption “Improving Investment Advice for Workers and Retirees” is effective. What does this mean for investment advisers? Our March 16 webinar will explore the exemption, its conditions, the DOL’s temporary non-enforcement policy, and potential compliance issues for investment advisers.


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Our expert panel includes Jennifer Eller and  Allison Itami, both Principals at Groom Law Group specializing in retirement issues and ERISA fiduciary compliance. Moderating will be Sarah Buescher, Associate General Counsel at the IAA.


CEOs and the Data Speak – DEI in the Investment Management Industry

Thursday, March 18, 2021
2:30 - 3:30 PM ET

The Women Business Collaborative, the IAA, and Morningstar are cohosting this Executive Roundtable to discuss diversity, equity, and inclusion (DE&I) in the investment management industry in honor of Women’s History Month. The investment management industry must address the issues that have resulted in its well documented lack of diversity and make meaningful progress. The industry leaders on this panel will discuss the latest data on women in the industry and the path forward to accelerate change.

Co-Moderators: Karen L. Barr, IAA President & CEO and Alex Jung, Board Director, Investor and Strategic Advisor (former Partner and Head of Europe at Oak Hill Advisors)

Panelists: CEO panelists: Yie-Hsin Hung, CEO, New York Life Investment Management; Jennifer M. Johnson, President & CEO, Franklin Templeton and Michelle Seitz, Chairman & CEO, Russell Investments. Data panelists: Laura P. Lutton, Head, Asset Management Solutions, Morningstar, Inc. and Sarah Maynard, Global Head, External Inclusion & Diversity Strategies and Programs, CFA Institute.


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New Registration of IARs Doing Business in NY

Tuesday, March 30, 2021
2:00 - 2:45 PM ET

This webinar will cover the recently adopted New York regulations imposing registration and examinations requirements on investment adviser representatives, including IARs of SEC-registered advisers.


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Panelists for this webinar will be Kevin Neubauer, Partner, and Angel Hall, Associate, of Seward & Kissel LLP, and Paul Glenn, Special Council at the IAA.