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Thursday, November 4
(All times are Eastern)
| 11:30-11:50 a.m. | Welcome, Regulatory and Legislative Update: General Session IAA staff will provide the latest updates on SEC and other key regulatory and legislative developments from Washington, DC.
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| 11:50 a.m.-12:50 p.m. | SEC Regional Offices: Concurrent Breakout Sessions Senior staff from the SEC’s Regional Offices will discuss current SEC examination priorities for investment advisers. Breakout 1 (Midwest and South):Atlanta
Breakout 2 (Northeast):Boston
Breakout 3 (West):Denver
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| 12:50-1:00 p.m.
| Break
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| 1:00-1:15 p.m. | Key Takeaways from SEC Sessions: General Session
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| 1:15-2:00 p.m. | Implementing Effective Policies and Procedures to Comply with the New Marketing Rule: General Session With a little over a year to go before advisers must comply with dramatic changes to the ways they market their services to investors, learn about significant provisions of the Marketing Rule that will require changes to your current advertising and solicitation activities, policies and procedures, and controls. Take away best practices to implement for the first time the use of client testimonials, endorsements, past specific recommendations, third-party ratings, and much more. Be ready to develop communication and training plans for content creators.
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| 2:00-2:15 p.m.
| Break
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| 2:15-3:00 p.m. | Presentation of Performance Under the New Marketing Rule: General Session The new Marketing Rule includes, for the first time, specific provisions relating to performance advertising. This session will help you prepare to calculate and present performance in marketing materials within the new parameters. Gain tips for laying the groundwork to implement changes to your controls regarding specific types of performance advertising, including:
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| 3:00-4:00 p.m. | Get Prepared for the New Investment Adviser Marketing Rule – Ask the Experts: Concurrent Breakout Sessions Panelists will answer your questions about the Marketing Rule. Send your questions in advance to iaalegalteam@investmentadviser.org. Breakout 1: Smaller Firms
Breakout 2: Larger Firms
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Thursday, November 18
(All times are Eastern)
| 1:00-2:00 p.m. | SEC Exam Issues Related to ESG: General Session Learn about what issues the SEC is focusing on in examinations involving ESG investment strategies and the steps that you can take to be prepared.
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| 2:00-2:15 p.m.
| Break
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| 2:15-3:00 p.m. | Building an ESG Compliance Program – Portfolio Management and Proxy Voting Issues: General Session Learn about key components of an ESG compliance program, including potential updates to your compliance program when adding an ESG investing strategy, the use of technology in monitoring ESG compliance, and proxy voting issues related to ESG investing.
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| 3:00-3:45 p.m. | Building an ESG Compliance Program – Disclosure and Client Communication Issues: General Session Understand what type of information is typically disclosed by advisers that engage in ESG investing and the types of information that clients may request about these strategies.
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