Tag: Gail Bernstein
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
Tags: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery September 22, 2020 Gail BernsteinIAA General Counsel The COVID-19 pandemic has proven to be a great...
September 22, 2020
Tags: Columns, Disclosure, E-Delivery, From the General Counsel, Gail Bernstein
New Governors Elected to IAA Board, New Board Officers Set
New Governors Elected to IAA Board, New Board Officers Set June 9, 2021 Laura K. Drynan of Bourgeon Capital Management, Bret C. Hester of TIAA, and T. Williams Roberts, III...
June 09, 2021
Tags: Gail Bernstein, IAA Board, Karen Barr
New Governors Elected to IAA Board, New Board Officers Set
New Governors Elected to IAA Board, New Board Officers Set June 12, 2020 Catherine C. Halberstadt of Osterweis Capital Management and R. Kelly Williams, Jr. of Atlanta Capital Management Company,...
June 12, 2020
Tags: Gail Bernstein, IAA Board, Karen Barr
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA
SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA October 8, 2020 In a policy win for the IAA, the SEC has adopted a...
October 08, 2020
Tags: Fund of Funds, Gail Bernstein, Investment Company, Investment Company Act
IAA Urges the DOL to Withdraw Proxy Proposal
IAA Urges the DOL to Withdraw Proxy Proposal October 7, 2020 Saying the Department of Labor’s proposed ERISA proxy amendments “would substantially increase costs for plans and fiduciaries without...
October 07, 2020
Tags: DOL, ERISA, Gail Bernstein, Proxy
New Case Shows Revenue Sharing a Top SEC Target
September 2019
September 01, 2019
Tags: Columns, From the General Counsel, Gail Bernstein, Share Class Disclosure
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