Agenda
All times are Eastern.
Wednesday, March 6
3:00 – 8:00 p.m. |
Early Registration
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6:00 – 8:00 p.m. |
Welcome Reception |
Thursday, March 7
7:00 a.m. – 5:00 p.m. |
Conference Registration/Exhibit Hall
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7:00 – 8:30 a.m. |
Continental Breakfast with ExhibitorsFind your old friends, make new ones, and get to know the exhibitors.
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8:30 – 8:40 a.m. |
Welcome Remarks
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8:40 – 9:10 a.m. |
GENERAL SESSION: Fireside Chat with SEC Chair
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9:15 – 10:05 a.m. |
GENERAL SESSION: SEC Division of Investment Management: A Conversation with Director William Birdthistle
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10:05 – 10:30 a.m. |
Networking Break
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10:30 – 11:30 a.m. |
Concurrent Compliance Breakout SessionsChoose one of four sessions to attend. Video recordings of these breakout sessions will be provided. AI, Behavioral Prompts, and Other Emerging Technology – Risk Governance and Conflicts Management
New Private Fund Adviser Rules
Smaller Advisers: Making the Most of Compliance
Registered Investment Companies Update
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11:30 a.m. – 12:45 p.m. |
LUNCH: Hot Topics from Inside the BeltwayGain insights into the latest regulatory and legislative landscape affecting investment advisers and the IAA’s current policy priorities.
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1:00 – 2:00 p.m. |
Concurrent Compliance Breakout SessionsChoose one of four sessions to attend. Video recordings of these breakout sessions will be provided. Marketing Rule Compliance: Best Practices:
Compliance 101
InfoSec: Data Privacy and Regulation S-P ERISA/DOL: Investment Advice Fiduciaries Rule and Other Developments
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2:05 – 3:05 p.m. |
GENERAL SESSION: Off-Channel Communications – Recordkeeping Obligations and the Use of Personal Devices and Messaging Apps
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3:05 – 3:30 p.m. |
Networking Break
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3:30 – 4:30 p.m. |
GENERAL SESSION: ESG Investing and Compliance: Adapting to the Changing Environment
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4:35 – 5:25 p.m. |
GENERAL SESSION: DEI in the Investment Management Industry – Developments and Next Steps
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5:25 – 5:30 p.m. |
What to Expect on Day 2
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5:30 – 7:00 p.m. |
Cocktail Reception
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Friday, March 8
7:00 a.m. – 3:00 p.m. |
Conference Registration/Exhibit Hall
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7:00 – 8:00 a.m. |
Breakfast Compliance Roundtables
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Concurrent Meetings
These meetings are for group/committee members only and registration is required.
- IAA Marketing Implementation Group
- IAA Private Fund Advisers Implementation Group
- IAA Smaller Advisers Committee
GENERAL SESSION: Ethics for Advisers: Compliance with Fiduciary Standards – Part 1
An adviser’s code of ethics reflects its fiduciary obligation to its client, including the duty of loyalty and duty of care. Discuss code of ethics requirements and best practices for monitoring, testing, administering, and enforcing these policies and conflicts of interest. This session is approved for one hour of IACCP® continuing education ethics credit.
- Kim Versace, Chief Compliance Officer, National Real Estate Advisors, LLC
- Valerie Mirko, Partner, Armstrong Teasdale (Moderator)
GENERAL SESSION: A Conversation with SEC Divisions of Examinations and Enforcement
- Natasha Vij Greiner, Co-Deputy Director and Co-National Associate Director of the Investment Adviser/Investment Company Examination Program, SEC Division of Examinations (invited)
- Andrew Dean, Co-Chief, Asset Management Unit, SEC Division of Enforcement (invited)
- Corey Schuster, Co-Chief, Asset Management Unit, SEC Division of Enforcement (invited)
- Gail Bernstein, General Counsel, Investment Adviser Association (Moderator)
Networking Break with Exhibitors
Concurrent Compliance Breakout Sessions
Choose one of four sessions to attend. Video recordings of these breakout sessions will be available to attendees shortly after the conference.
Cybersecurity Programs
Hear the latest on the SEC’s proposed cybersecurity risk management rules, including how to put into practice lessons learned from recent Division of Examinations Risk Alerts and Division of Enforcement cases. Keep apprised of the latest cybersecurity updates. Benchmark your program to proactively improve cyber hygiene and risk governance through information security and operational resiliency to protect your firm against ransomware, account takeovers, and credential compromise.
- Smaller and Medium Firms
- Larger Firms
Private Equity Fund Advisers: Hot Topics in SEC Examinations
This panel will examine top examination areas for private equity fund advisers, including calculation and allocation of fees and expenses, contractual obligations and disclosure, portfolio management and fiduciary duty considerations, and valuation practices.
- Sean Murphy, Senior Vice President, Chief Compliance Officer, EIG Partners
- Jason Brown, Partner, Ropes & Gray LLP (Moderator)
Compliance in the Era of M&A
This panel will explore challenges and opportunities in structuring a compliance program in the evolving landscape of mergers and acquisitions of advisory firms. Gain insights about initial due diligence and regulatory considerations; integrating processes, systems, and technology around portfolio management, billing, and CRM; and the impact acquisitions have on the annual compliance program testing.
- Matt Ahlstrand, Vice President of Product Management and Solutions Consulting, SS&C Advent
- Chad Estep, Chief Compliance Officer, Corient, LLC
- Jamie Lynn Walter, Partner, Latham & Watkins LLP (Moderator)
Lunch: Use of AI in Investing and Compliance
Concurrent Compliance Breakout Sessions
Choose one of four sessions to attend. Video recordings of these breakout sessions will be available to attendees shortly after the conference.
Outsourcing and Vendor Due Diligence
Join one of these breakout panels to learn best practices and insights for initial and ongoing due diligence, risk management, and monitoring of outsourcing to service providers of the adviser. Hear the latest about the SEC’s proposed requirements for outsourcing “covered functions” to service providers.
- Smaller and Medium Firms
- Joe LaFemina, Director, Solutions Management, Managed Services, SS&C Advent
- Larger Firms
Safeguarding/Custody
This panel will provide clarity and practical insights into current custody rule challenges and the SEC’s proposed safeguarding rule under the Advisers Act. The proposed rule would broaden application of the current custody rule beyond clients’ funds and securities to include all client assets, expand the segregation requirements for qualified custodians, and include new real-time asset verification rules. Understand how proposed contract, recordkeeping, and audit provisions may impact advisers too.
- David Bartels, Partner, Dechert LLP
- Laura Grossman, Associate General Counsel, Investment Adviser Association (Moderator)
Proxy Voting
Learn the latest on recent actions by the SEC related to proxy voting and what advisers should focus on as we head into proxy season, including advisory agreements, policies and procedures, and oversight of third parties. Hear practical steps to take to comply with new reporting on amended Form N-PX for Form 13F filers on executive compensation “say-on-pay” votes.
- Ian J. McPheron, Head of Legal–Americas, Aviva Investors
- Mari-Anne Pisarri, Partner, Pickard Djinis and Pisarri LLP (Moderator)
Ethics for Advisers: Compliance with Fiduciary Standards – Part 2
This session will cover the protection of material nonpublic information (MNPI) and prevention of insider trading, whistleblower policy issues and scenarios, and best practices for monitoring, testing, administering, and enforcing these policies. This session is approved for one hour of IACCP® continuing education ethics credit.
- Gordon Eng, General Counsel & Chief Compliance Officer, SKY Harbor Capital Management, LLC
- Steve Farmer, Chief Compliance Officer, Confluence Investment Management
- Robert Saperstein, Chief Compliance Officer, Guggenheim Investments
- Stephanie Avakian, Partner, WilmerHale (Moderator)
Closing Remarks and Conference Adjournment
- Karen L. Barr, President & CEO, Investment Adviser Association