FacultyFaculty/Author Profile
Barry P. Barbash

Barry P. Barbash

Willkie Farr & Gallagher LLP

New York, NY, USA


Barry P. Barbash is a co-head of the firm’s Asset Management Group and has been a practitioner in the asset management area for over 35 years.  He combines deep private practice experience with extensive knowledge of the regulation of the asset management business, having, among other things, served from September 1993 until October 1998, as the Director of the Securities and Exchange Commission’s Division of Investment Management.

Mr. Barbash has a diverse practice covering all aspects of the asset management business. He regularly advises investment managers and fiduciaries, independent directors and trustees, and mutual fund, exchange-traded fund, hedge fund, private equity fund and venture capital fund clients on a variety of transactional, compliance and regulatory matters. His areas of expertise include investment adviser operations, compliance procedures and policies and fund governance matters.  He regularly represents buyers and sellers in asset management merger and acquisition transactions and restructurings and advises asset managers of all types in connection with administrative and court actions brought by securities regulators.  He has particular experience and expertise dealing with “status” issues arising under the Investment Advisers Act of 1940 and the Investment Company Act of 1940.  He has, in addition to serving as the Director of the SEC’s Division of Investment Management, held staff attorney positions with the Division of Investment Management and the Plan Benefits Security Division of the Office of the Solicitor of the U.S. Department of Labor, which has responsibility for the administration of the fiduciary responsibility provisions of the U.S. federal employee benefit plans law.  His practice has been focused on investment advisers, fiduciaries and securities regulation since 1978.

 

Barry P. Barbash is associated with the following items:
Course Handbooks  Course Handbooks Investment Management Institute 2018
CHB Chapters  CHB Chapters Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Speech, The Role of Big Data, Machine Learning, and AI in Assessing Risks: A Regulatory Perspective (June 21, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
U.S. Securities and Exchange Commission, Division of Enforcement, Annual Report: A Look Back at Fiscal Year 2017 - Investment Management Institute 2018, Thursday, March 22, 2018
Scott W. Bauguess, Acting Director and Acting Chief Economist, DERA, U.S. Securities and Exchange Commission, Speech, Market Fragility and Interconnectedness in the Asset Management Industry (June 20, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
Stephanie Avakian, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission, Speech, The SEC Enforcement Division’s Initiatives Regarding Retail Investor Protection and Cybersecurity (October 26, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
Jay Clayton, Chairman, U.S. Securities and Exchange Commission, Speech, Remarks at the PLI 49th Annual Institute on Securities Regulation: Governance and Transparency at the Commission and in Our Markets (November 8, 2017) - Investment Management Institute 2018, Thursday, March 22, 2018
Recent Trends in SEC Investment Management Enforcement Actions: A Summary Chart - Investment Management Institute 2018, Thursday, March 22, 2018
Web Segment  Web Segment Investment Management: Enforcement and Litigation Trends - Investment Management Institute 2018, Wednesday, May 02, 2018
Issues of the Day for Alternative Asset Managers - Investment Management Institute 2018, Wednesday, May 02, 2018
SEC Strategic Agenda - Investment Management Institute 2018, Wednesday, May 02, 2018
MP3 Audio  MP3 Audio Issues of the Day for Alternative Asset Managers - Issues of the Day for Alternative Asset Managers, Wednesday, May 02, 2018
SEC Strategic Agenda - SEC Strategic Agenda, Wednesday, May 02, 2018
Investment Management: Enforcement and Litigation Trends - Investment Management: Enforcement and Litigation Trends, Wednesday, May 02, 2018
Transcripts  Transcripts Issues of the Day for Alternative Asset Managers - Issues of the Day for Alternative Asset Managers, Wednesday, May 02, 2018
Investment Management: Enforcement and Litigation Trends - Investment Management: Enforcement and Litigation Trends, Wednesday, May 02, 2018
SEC Strategic Agenda - SEC Strategic Agenda, Wednesday, May 02, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Investment Management: Enforcement and Litigation Trends - Investment Management: Enforcement and Litigation Trends, Wednesday, May 02, 2018
SEC Strategic Agenda - SEC Strategic Agenda, Wednesday, May 02, 2018
Issues of the Day for Alternative Asset Managers - Issues of the Day for Alternative Asset Managers, Wednesday, May 02, 2018
Technology in the Asset Management Industry, Wednesday, May 02, 2018
On-Demand Web Programs  On-Demand Web Programs Investment Management Institute 2018, Monday, May 07, 2018, New York, NY
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