Sara Crovitz to participate in upcoming IAA webinar on SEC’s new proxy voting guidance

The SEC has issued supplemental guidance regarding the proxy voting responsibilities of investment advisers. The guidance raises issues regarding advisers’ policies and procedures, agreements with proxy advisory firms, and disclosures to clients.

Hosted by the Investment Adviser Association (IAA), an expert panel will discuss each element of the guidance and key takeaways for advisers to consider in reviewing their proxy voting policies and procedures and disclosures. The panel will also discuss observations from the proxy guidance issued by the SEC last August.

When: Sep 11, 2020 from 12:00 PM to 1:00 PM (ET)

Presenters:

Sara Crovitz, Partner, Stradley Ronon

Steven W. Stone, Partner, Morgan Lewis

Sarah Buescher, Associate General Counsel, Investment Adviser Association

Registration:

Registration for the live webinar will close September 11 at 9 AM ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. The recording will be available within five business days after the webinar.

Non-Member Registration Fees: The live webinar is $150 (per computer logon). The recording will be available for purchase after September 11. Contact iaaevents@investmentadviser.org to purchase the recording ($150).

Register

Blog Authors

Sara P. Crovitz

Sara Crovitz, most recently Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, provides counsel on all aspects of investment company and investment adviser regulation. She worked at the SEC for 21 years, including 17 years in the Division of Investment Management focusing on issues under the Investment Company and Investment Advisers Acts of 1940. While in the Division, Sara supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates and other written and oral means.

William T. Mandia

William Mandia represents financial institutions and insurers in complex commercial and class action litigation. He regularly defends and advises life insurers, intermediaries, banks, broker-dealers, investment advisers, and other financial services providers in connection with sales practices claims arising from a wide range of financial and life insurance products, including, but not limited to, claims for alleged breach of fiduciary duty, fraud, and violations of state consumer protection laws.

Peter M. Hong

Peter Hong uses his many years of service at the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) to guide clients through the various regulatory requirements involved in the offer of financial services and products. His practice includes the registration and regulation of investment advisers, broker-dealers, commodity trading advisers, commodity pool operators, and introducing brokers under federal and state laws, as well as the formation and ongoing compliance obligations of registered and private investment companies.