Investment Adviser Compliance Conference

IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides insight on changes in the regulatory landscape and guidance for maintaining a successful compliance program. The conference is eligible for select continuing education credit.

The 2018 Investment Adviser Compliance Conference will be held March 15-16. Additional information will be available later this year.

View past conference brochures:

 

Topics

The General Sessions cover a variety of compliance topics that address new developments, critical issues, and insights on how to sustain a successful compliance program. Concurrent breakout sessions address topics of more specialized interest.

Presenters

The program typically features more than 50 presenters and panelists who are experts in their fields, including SEC representatives, in-house legal counsel and compliance specialists, partners with leading law firms, and IAA staff attorneys.

Participants

While at the conference, attendees have an excellent opportunity to network with peers.

  • Chief Compliance Officers
  • Compliance Professionals
  • General Counsel
  • In-House Counsel
  • Outside Counsel
  • Financial Officers
  • Advisory Consultants
  • Industry Executives
  • Senior Staff
  • Industry Regulators

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 lisa.gillette@investmentadviser.org.

Registration

Individuals employed by an IAA member or IAA associate member firm are eligible to register at the respective discounted rate. Individuals who are not with an IAA member firm are welcome to register for the conference at the regular (non-discounted) rate.

Hotel Reservations

This event is held in the Washington, DC metropolitan area.

Conference attendees are responsible for making their own hotel arrangements.

A block of rooms featuring special discounted rates will be set aside for conference registrants. To make a reservation, contact the hotel directly and mention the IAA Compliance Conference, in order to receive the discounted room rate. Be sure to reserve a guest room early as inventory is limited.

Exhibitors and Sponsors

The IAA welcomes exhibitors and sponsors at this event. Opportunities are limited and sell out quickly. For more information, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or lisa.gillette@investmentadviser.org.

More Information

For more information and questions about the Compliance Conference, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or lisa.gillette@investmentadviser.org.

Accessing China’s Asset Management Industry
Understanding the New SEC Guidance on the Custody Rule
Philadelphia Luncheon
Leadership Conference

Find out how you can join the more than 600 SEC-registered firms that are members of the IAA and start accessing our full range of advocacy, compliance and educational resources.