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Regulation

SEC Seeks Institutional Investor Reps for Advisory Committee

The independent committee needs representatives of pensions and mutual funds to bolster investor protection.

By Michael Katz



The Securities and Exchange Commission is seeking five new representatives to join its Investor Advisory Committee, an independent group that aims to protect investors and improve securities regulations.

According to the regulator, the committee is open to members of the public who represent the interests of institutional investors, such as pension funds and registered investment companies, as well as representatives of individual equity and debt investors, including mutual fund investors.

The committee, established under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and independent of the SEC, advises and consults with the regulator on its regulatory priorities, securities product regulation, trading strategies, fee structures and disclosure effectiveness. It is also involved with initiatives to protect investor interests and promote investor confidence in the securities marketplace.

No fewer than 10 and no more than 20 members are appointed by the SEC to serve four-year terms on the committee, which includes an investor advocate, a representative of state securities regulators and a representative of senior citizens. The committee’s members are expected to participate in public meetings, which take place three to four times per year, either virtually or at the SEC’s headquarters in Washington, D.C. The public meetings may include panel talks, as well as discussions about and votes on committee recommendations.

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Committee members are also expected to join one of four subcommittees, which develop panels and recommendations for full committee consideration and meet virtually between committee meetings. The subcommittees currently consist of the Investor as Owner Subcommittee, the Investor as Purchaser Subcommittee, the Market Structure Subcommittee and the Disclosure Subcommittee. There is also a working group on access and inclusion, which includes representation from each subcommittee.

After SEC staff determine the eligibility of the applicants, the regulator will review the candidates, make nominations and vote on a slate of new members to serve on the committee.

“The Investor Advisory Committee and its diverse and talented members are key to ensuring a wide array of investor perspectives are represented in SEC policymaking,” said SEC Chairman Gary Gensler in a release. “I look forward to working with the members of the Investor Advisory Committee to continue to uphold the SEC’s mission of providing transparent and fair markets for all investors.”

Candidates interested in serving on the committee can email a statement of interest, including relevant information on their background and experience, no later than April 26 to iac-candidates@sec.gov.

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Home > News > Corporate Moves > Chris Roth Named Northern Trust Asset Management’s CIO of Global Fixed Income
Corporate Moves

Chris Roth Named Northern Trust Asset Management’s CIO of Global Fixed Income

Roth joins the $1.2 trillion asset manager after almost a quarter-century at Morgan Stanley.

By Michael Katz



Christian Roth has joined Northern Trust Asset Management as the firm’s CIO of global fixed income, after almost 25 years at Morgan Stanley.

Roth, who will report to NTAM Global CIO Angelo Manioudakis, will oversee the investment strategy, process and approach for the firm’s fixed-income business worldwide.

“Fixed income is a foundational element of nearly every client’s portfolio,” said Manioudakis in a statement. “Chris’s extensive expertise managing fixed-income portfolios and investment teams will be a tremendous asset to NTAM and our clients.”

As of the end of 2023, NTAM, which has $1.18 trillion in total assets under management, had more than $414 billion in assets under management in fixed-income and liquidity strategies.

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Roth was most recently chairman of broad markets fixed income at Morgan Stanley, a position he held for a little more than a year. In this role, he oversaw a 55-person team managing $90 billion worth of multi-sector and investment grade fixed-income portfolios, according to his LinkedIn profile.

Before that, he was Morgan Stanley’s head of multi-sector fixed income for nearly five years, helping lead a team of more than 30 analysts, portfolio managers and traders in New York, London, Singapore and Tokyo. Roth was also the head of global fixed income for nearly nine years and co-head of the global and European fixed-income team for more than 10 years. 

Prior to joining Morgan Stanley in 1999, Roth was a portfolio manager for nearly eight years at Miller Anderson & Sherrerd LLP and, before that, was a senior associate at Dean Witter Capital for almost four years. He holds a B.S. in economics and finance from the Wharton School at the University of Pennsylvania.

“Chris’s hire plays a key role in NTAM’s continued investment in our global fixed-income capabilities, talent, and technology,” said Manioudakis.

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