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Tag: Gail Bernstein

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AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach

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November 04, 2021

Keywords: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr

Categories & Topics: Compliance, FinTech & Digital, Industry Trends, Industry-Level

New Governors Elected to IAA Board, New Board Officers Set

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June 09, 2021

Keywords: Gail Bernstein, IAA Board, Karen Barr

Categories & Topics: Member Benefits, Membership

SEC Adopts Fund of Funds Rule – Without Redemption Limit Opposed by the IAA

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October 08, 2020

Keywords: Fund of Funds, Gail Bernstein, Investment Company, Investment Company Act

Categories & Topics: Business Ops/HR, Registered Funds

IAA Urges the DOL to Withdraw Proxy Proposal

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October 07, 2020

Keywords: DOL, ERISA, Gail Bernstein, Proxy

Categories & Topics: Business Ops/HR, Proxy Voting

The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery

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September 22, 2020

Keywords: Columns, Disclosure, E-Delivery, From the General Counsel, Gail Bernstein

Categories & Topics: Compliance, Electronic Delivery

New Governors Elected to IAA Board, New Board Officers Set

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June 12, 2020

Keywords: Gail Bernstein, IAA Board, Karen Barr

Categories & Topics: Member Benefits, Membership

New Case Shows Revenue Sharing a Top SEC Target

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September 01, 2019

Keywords: Columns, From the General Counsel, Gail Bernstein, Share Class Disclosure

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