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Karen Barr

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

SEC Compliance Outreach Program Scheduled for November 15

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September 22, 2022

Keywords: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations

Categories & Topics: Advertising, Compliance, Compliance Programs, ESG, Industry-Level, Private Funds, Registered Funds

SEC Staff Issues Bulletin Regarding Adviser and Broker-Dealer Conflicts of Interest

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August 04, 2022

Keywords: Conflicts of Interest, Fiduciary, Reg BI

Categories & Topics: Compliance, Conflicts, Fiduciary

SEC’s Gensler Looks to Expand, Not Rewrite, Standards of Conduct Rulemaking Package – More Guidance Coming

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July 12, 2022

Keywords: Fiduciary, Gary Gensler, Reg BI, SEC

Categories & Topics: Compliance, Fiduciary

The ERISA Fiduciary Advice Exemption

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June 23, 2022

Keywords: DOL, ERISA, Fiduciary

Categories & Topics: Compliance, ERISA & Pension Plans, Fiduciary

SEC Fines Adviser for Breach of Fiduciary Duty

The SEC has settled charges against a registered investment adviser for breach of fiduciary duty to clients for failures regarding conflicts disclosure, best execution, and duty of care.

March 07, 2022

Keywords: Fiduciary, Revenue Sharing, SEC Enforcement, Share Class Disclosure

Karen Barr

2022 IAA Policy Outlook: Changes Ahead, Changes Behind

IAA President & CEO Karen Barr on the association and industry’s 2021 highlights — and a look forward at what’s to come in 2022.

January 10, 2022

Keywords: Fiduciary, Form CRS, From the President & CEO, IAA Policy, Karen Barr, Proxy Voting, Sustainable Investing

Categories & Topics: Business Ops/HR, Form ADV & CRS, Industry Trends, Industry-Level, Proxy Voting, Reporting

SEC Staff Releases Additional Form CRS Observations

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December 21, 2021

Keywords: Discl, Disclosure, Fiduciary, Form CRS

Categories & Topics: Fiduciary, Form ADV & CRS

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