2021 Compliance Workshop

Conference Materials

Agenda

Attendee List

1. IAA Regulatory and Legislative Update
   1. IAA Briefing Webinar: Fall 2021
   2. IAA Policy Priorities
2. SEC Regional Sessions
   1. 2021 Examination Priorities (Mar. 2, 2021)
   2. Risk Alert: Observations from Examinations in the Registered Investment Company Initiatives (Oct. 26, 2021)
   3. Risk Alert: Observations Regarding Fixed Income Principal and Cross Trades by Investment Advisers from an Examination Initiative (July 21, 2021)
   4. Risk Alert: Observations from Examinations of Investment Advisers Managing Client Accounts That Participate in Wrap Fee Programs (July 21, 2021)
   5. Risk Alert: The Division of Examinations’ Continued Focus on Digital Asset Securities (Feb. 26, 2021)
   6. Risk Alert: Executive Order on Securities Investments that Finance Communist Chinese Military Companies (Jan. 6, 2021)
   7. Risk Alert: Observations from Examinations of Broker-Dealers and Investment Advisers: Large Trader Obligations (Dec. 16, 2020)
3. Implementing Effective Policies and Procedures to Comply with the New Marketing Rule
   1. Implementing Effective Policies and Procedures to Comply with the New Marketing Rule
   2. Eversheds Sutherland: Overview of the rule amendments
   3. Eversheds Sutherland: Your questions answered
   4. Eversheds Sutherland: Issues for dual-registrants under the amended rules
   5. Eversheds Sutherland: Solicitor relationships
   6. Eversheds Sutherland: The impact on private fund advisers
   7. Eversheds Sutherland: The new regulatory regime governing investment adviser performance presentations
   8. Division of Investment Management Staff Statement Regarding Withdrawal and Modification of Staff Letters Related to Rulemaking on Investment Adviser Marketing, Information Update 2021-01 (Oct. 2021)
4. Presentation of Performance Under the New Marketing Rule
   1. Presentation of Performance Under the New Marketing Rule
   2. Morgan Lewis: The SEC’s New Marketing Rule: Key Takeaways for Advisers
   3. Morgan Lewis: Marketing Rule – Recordkeeping Changes
5. Ask the Experts: Marketing Rule – Smaller Firms
   1. IAA Compliance Corner, Feb. 2021: Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules? And What Then?, by Michelle L. Jacko
   2. Core Compliance & Legal Services: New Marketing Rule – Client Questionnaire
   3. Katten: The New Investment Adviser Marketing Rule: Everything You Need to Know
   4. Pickard Djinis and Pisarri LLP: Investment Adviser Marketing: A New Era for Advertising and Solicitation
6. Ask the Experts: Marketing Rule – Larger Firms
   1. Dechert: The New World of Investment Adviser Marketing – The Rule 206(4)-1 Amendments Part 1
   2. Dechert: The New World of Investment Adviser Marketing – The Rule 206(4)-1 Amendments Part 2
7. SEC Exam Issues Related to ESG
   1. Risk Alert: The Division of Examinations’ Review of ESG Investing (Apr. 9, 2021)
8. Building an ESG Compliance Program – Portfolio Management and Proxy Voting Issues
   1. Building an ESG Compliance Program – Portfolio Management and Proxy Voting Issues
   2. Stradley Ronon: ESG – Environmental, Social & Governance Legal & Regulatory Developments and Implications
   3. IAA Active Managers Council: Sustainable Investing is an Active Process
9. Building an ESG Compliance Program – Disclosure and Client Communication Issues
   1. Building an ESG Compliance Program – Disclosure and Client Communication Issues
   2. Perkins Coie: Asset Management ADVocate Articles on ESG