Nov 13, 2020
In this episode of Human Capital, we talk with Karen Barr, president and CEO of the Investment Adviser Association in Washington, about the growing ranks of RIAs as well as important rule updates that are due to be released by the Securities and Exchange Commission.
Barr weighs in on the much-anticipated changes to the SEC’s custody rule.
“We understand that there’s now a dedicated team in the Division of Investment Management that’s actively working to update” the custody rule. “We recommended a complete review and rethink of the rule.”
Listen in as Barr also talks about why the SEC’s changes to the advertising rule are “getting close to the finish line.”