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Legal & Regulatory Committee

The Legal and Regulatory Committee assists IAA staff in developing industry positions on U.S. regulatory proposals affecting investment advisers. The Committee also serves as a forum for IAA members to monitor regulatory developments and industry advocacy efforts, as well as to discuss implementation of new rules and other compliance-related issues. The Committee is designed for legal and compliance personnel who are willing and able to articulate their firm’s position on pending regulatory proposals.

Meeting Frequency: Two times per year in-person (one via video conference in regional locations), and monthly conference calls most other months

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Christine Morgan
T. Rowe Price Associates, Inc.

Vice Chair

Tracy Soehle
Affiliated Managers Group, Inc.

Gail Bernstein Headshot

IAA Staff Liaison

Gail Bernstein
General Counsel

We encourage all members to participate in our Committees, Working Groups, and Forums.

To join the Legal and Regulatory Committee or its online community on the IAA Exchange, please contact or call (202) 293-4222.

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