Navigating SEC Regulations, Compliance, and Trends in Investment Management

Navigating SEC Regulations, Compliance, and Trends in Investment Management

Show notes

If you're curious about the latest developments in SEC regulations and how they're impacting the investment management industry, check out our recent podcast episode featuring Karen Barr, the President and CEO of the Investment Adviser Association (IAA). During the episode, Karen provides insights on a variety of topics affecting investment firms, including T+1, Outsourcing Due Diligence, Custody Rule, and more, as well as her thoughts on current trends in the industry. Don't miss out on this informative discussion with an industry leader.

Hosts

Trent Berry

Trent Berry

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Jasmin Conner

Jasmin Conner


Guests

Karen Barr

Karen Barr

Karen is president and chief executive officer of the IAA. Before assuming the role of president and CEO in 2014, she served as the IAA’s general counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the investment adviser industry. Prior to joining the IAA, Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients in SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. She received her B.A. from the University of Pennsylvania and her J.D. from the University of Michigan Law School.

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