SEC Regulatory Update

Karyn Vincent, CFA, CIPM, Senior Head of Global Industry Standards at CFA Institute, will provide an overview of SEC regulatory changes and proposed changes affecting an adviser’s marketing and client reporting activities. Karyn will discuss highlights from:

• SEC Marketing Rule
• Private Fund Advisers proposal;
• Investment Company Names proposal
• ESG Disclosures for Investment Advisers and Investment Companies proposal.

Karyn D. Vincent, CFA, CIPM, is Senior Head, Global Industry Standards at CFA Institute and is also the GIPS Standards Executive Director. Previously, she was managing partner for client services at ACA Performance Services. Ms. Vincent founded Vincent Performance Services LLC, which subsequently merged with ACA. She also was the global practice leader for investment performance services at PricewaterhouseCoopers. Prior to joining CFA Institute in 2018, Ms. Vincent was an active volunteer, serving on numerous GIPS standards committees. She co‐authored with Bruce J. Feibel Complying with the Global Investment Performance Standards (GIPS®) (John Wiley & Sons, Inc., 2012). Ms. Vincent holds a bachelor’s degree in accounting from the University of Massachusetts Dartmouth.

Date:  November 10, 2022

Time: 12:00 to 1:00 - presentation | 1:00 to 1:15 - Q&A

University Club

1225 S.W. Sixth Avenue

Portland, Oregon 97204

$20 | CFASP Members

$30 | Nonmembers

Registering for this event implies that you agree to CFASP's Waiver and Release.