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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’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

Gensler Targets Payment for Order Flow, Other Equity Market Structure Reforms

SEC’s Gensler targets payment for order flow and outlines several other potential areas for equity market structure reform.

June 14, 2022

Keywords: Gary Gensler, Trading

Categories & Topics: Brokerage & Trading, Business Ops/HR

SEC Responds to Commenter Requests, Extends and Reopens Deadlines

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May 11, 2022

Keywords: ESG, Gary Gensler, Private Funds

Categories & Topics: Business Ops/HR, ESG, Industry-Level, Private Funds

SEC’s Gensler Signals Increased Focus on Fixed Income Markets

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May 03, 2022

Keywords: Gary Gensler, Settlement Cycle, Trading

Categories & Topics: Account Operations, Portfolio Management

Birdthistle, Crenshaw Headline IAA Compliance Conference

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March 24, 2022

Keywords: Caroline Crenshaw, Cybersecurity, Digital Assets, Gary Gensler, William Birdthistle

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

Considerations When Drafting an ESG 80% Policy

Coordination of disclosure, compliance, and marketing is critical when developing an ESG 80% Policy. Here are five potential approaches from K&L Gates to make it work.

February 14, 2022

Keywords: Columns, Compliance, Compliance Policies, Disclosure, ESG, Gary Gensler, Names Rule

Categories & Topics: Compliance, Compliance Programs, ESG, Industry-Level

SEC Calls for Additional Private Fund Reporting and Information

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January 27, 2022

Keywords: Form PF, Gary Gensler, Hedge Funds, Hester Peirce, Private Equity, Private Funds, SEC

Categories & Topics: Business Ops/HR, Private Funds

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