IAA 2025 Compliance Workshops

Agenda

In-Person

8:00 a.m. – 12:15 p.m. local time

8:00 – 8:30 a.m.	Networking Breakfast
8:30 – 8:45 a.m.	IAA Regulatory Update
8:45 – 9:30 a.m.	SEC Regional Office Speaker
9:30 – 10:25 a.m.	Regulation S-P & Data Privacy Practical tips to help you implement the SEC’s final Regulation S-P amendments, including requirements for data privacy governing the protection of clients’ non-public personal information, an incident response plan, data breach notification, and vendor oversight.
10:25 – 10:35 a.m.	Break
10:35 – 11:30 a.m.	IAs Using AI Learn the latest on the evolving legal and regulatory framework for advisers’ use of artificial intelligence (AI) in areas such as legal and compliance; investor communications and marketing; and portfolio management and investment decision making. Our discussion will cover managing AI use under the compliance program and recordkeeping rules, addressing governance and risk management, identifying and mitigating conflicts, selecting and overseeing vendors, disclosure, and training.
11:30 a.m. – 12:15 p.m.	Peer-to-Peer Discussion Roundtable sessions, facilitated by IAA lawyers, for firms to share challenges, initiatives, and resources with peers.

Click on a city below to see its specific agenda and speaker lineup.

Chicago New York Boston Atlanta Austin Los Angeles

Virtual

1:00-4:15 p.m. ET

1:00 – 1:45 p.m.	Current SEC Examination Priorities and Compliance Issues Marshall Gandy, National Associate Director, Investment Adviser/Investment Company Examination Program, SEC
1:45 – 2:00 p.m.	IAA Regulatory Update Tracy Soehle, Associate General Counsel, IAA
2:00 – 2:10 p.m.	Break
2:10 – 3:05 p.m.	Regulation S-P & Data Privacy Practical tips to help you implement the SEC’s final Regulation S-P amendments, including requirements for data privacy governing the protection of clients’ non-public personal information, an incident response plan, data breach notification, and vendor oversight. Kristy Littman, Partner, Willkie Farr & Gallagher LLP Charu Chandrasekhar, Partner, Debevoise & Plimpton LLP Tracy Soehle, Associate General Counsel, IAA (Moderator)
3:05 – 3:15 p.m.	Break
3:15 – 4:10 p.m.	IAs Using AI Learn the latest on the evolving legal and regulatory framework for advisers’ use of artificial intelligence (AI) in areas such as legal and compliance; investor communications and marketing; and portfolio management and investment decision making. Our discussion will cover managing AI use under the compliance program and recordkeeping rules, addressing governance and risk management, identifying and mitigating conflicts, selecting and overseeing vendors, disclosure, and training. Jennifer Porter, Partner, Willkie Farr & Gallagher LLP Brian Crowell, Partner, Stradley Ronon Stevens & Young, LLP Carlo di Florio, President, ACA Group Tracy Soehle, Associate General Counsel, IAA (Moderator)
4:10 – 4:15 p.m.	Wrap-up and Adjourn

Registration Information

Compliance Workshops Homepage

Contact

Lisa Gillette
lisa.gillette@investmentadviser.org or (202) 293-4222

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