Compliance Workshops

The IAA’s Compliance Workshops offer an excellent opportunity to gain practical insights on challenging legal and regulatory issues affecting SEC-registered investment advisers.

Workshops are held in the fall in locations across the U.S, including Atlanta, Boston, Chicago, Denver, Houston, Los Angeles, New York, Philadelphia, and San Francisco. The 2017 schedule will be posted as it becomes available.


Speakers include IAA legal staff and attorneys from nationally recognized law firms, as well as a representative from the SEC who discusses the agency’s current priorities and issues for advisers.

  • Law Firm Partners
  • Investment Adviser Association Attorneys
  • SEC Representative


Workshop sessions cover need-to-know information and hot topics for investment advisers. After lunch, an SEC representative discusses current inspection priorities and other issues of interest to advisory firms.

9:15 a.m.
9:45 a.m.
12:00 p.m.
12:45 p.m.
1:15 p.m.
2:00 p.m.
Welcome and Regulatory/Legislative Update
Workshop Sessions
Networking Lunch
SEC Speaker
Workshop Session
Workshop Concludes

(Schedule is subject to adjustment.)


Participants include in-house and third party compliance and legal professionals:

  • Chief Compliance Officers
  • In-House Counsel
  • Compliance Specialists
  • Senior Staff

Continuing Education Credits

This conference will be approved for CLE, CPE and IACCP continuing education credit. NRS Investment Adviser Certified Compliance Professionals® (IACCP®) offers continuing education credit for attendees. CPE credit will be available. CLE accreditation will apply in certain states. For more information or to request that your state be included for CLE credit, please contact Lisa Gillette at


For more information, see Upcoming IAA Events or contact the IAA. Employees of firms that are current members of the Investment Adviser Association are eligible to receive the discounted member rate.

More Information

For more information, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or

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