Legal and Regulatory Committee

IAA Committees and Working Groups

Legal and 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.

 



Committee Chair
Rana Wright
Harris Associates


Committee Vice Chair
Kevin Ehrlich
Western Asset Management Company


IAA Staff Liaison
Gail Bernstein
General Counsel



 

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

 

Online Community

Recent Meeting Notes

 

IAA Committees and Working Groups

 

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 iaaservices@investmentadviser.org or call (202) 293-4222.

  • OUR POSITIONS
    on key issues

    See IAA Comment Letters and Statements to Regulators and Congress advocating for investment advisers

    Info

  • upcoming meetings
    and events

    Our up-to-date calendar of professional conferences and scheduled meetings for Committees and Working Groups

    CALENDAR

  • deep dives into
    hot topics

    Recordings of IAA Webinars are devoted to legal, regulatory, compliance and business issues

    INFO