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SEC’s Gary Gensler and IAA’s Karen Barr Debate SEC Agenda for Advisers

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October 19, 2022

Keywords: Cybersecurity, ESG, Fiduciary, Gary Gensler, Karen Barr, Policy & Leadership Forum, Reg BI, SEC

Categories & Topics: Compliance, Fiduciary, Industry Trends, Industry-Level

IAA Presents List of Critical Adviser Issues, Regulatory Challenges To New SEC Chair as He Formulates His Regulatory Agenda

SEC Chair Gary Gensler Sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, effective coordination with other...

May 19, 2021

Keywords: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing

Categories & Topics: Business Ops/HR, Compliance, Diversity & Inclusion, Fiduciary, Proxy Voting

Fiduciary Advice in a New Era: A Real Relationship for the Long Term

Fiduciary Advice in a New Era: A Real Relationship for the Long Term By IAA President & CEO Karen Barr July 13, 2020 Karen BarrIAA President & CEO On June...

July 13, 2020

Keywords: Columns, DOL, Fiduciary, Form CRS, From the President & CEO, Karen Barr, Reg BI

Categories & Topics: Compliance, Fiduciary

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