2026 Investment Adviser Compliance Conference

Conference Registration/Exhibit Hall

Continental Breakfast with Exhibitors

Find your old friends, make new ones, and get to know the exhibitors.

Welcome Remarks

• Karen L. Barr, President & CEO, Investment Adviser Association

GENERAL SESSION: Fireside Chat with SEC Commissioner Mark T. Uyeda

• The Honorable Mark T. Uyeda, Commissioner, Securities and Exchange Commission
• Karen L. Barr, President & CEO, Investment Adviser Association

GENERAL SESSION: Mastering the New Regulation S-P Framework: Lessons Learned So Far

Hear from advisers on the front lines who have implemented new SEC data privacy rules under Regulation S-P. What has worked – and hasn’t – for data breach notification obligations, incident response plans, service provider oversight, and due diligence. Is any additional guidance on the horizon? Also learn about making a game plan for a data breach.

Networking Break with Exhibitors

Concurrent Compliance Breakout Sessions

Choose one session to attend. Video recordings of these breakout sessions will be available to attendees shortly after the conference.

Navigating SEC Exams with Confidence
Hear the latest trends in SEC exams from those who have experienced recent examinations. Panelists will share tips for how to remain prepared for when it’s inevitably your turn.

The Feeling’s Mutual: Key Developments for Registered Investment Companies
Explore key regulatory developments affecting registered investment companies, including recent SEC rulemaking and exemptive relief for ETF share classes. Panelists will discuss compliance impacts and practical strategies to navigate today’s evolving regulatory environment.

Private Fund Advisers: Navigating the Evolving Compliance Landscape
Explore the shifting regulatory and compliance landscape for private fund advisers in light of SEC rulemakings, enforcement priorities, and industry trends. Panelists will also share practical insights on implementing robust compliance programs, preparing for SEC examinations, and addressing areas of heightened scrutiny.

LUNCH: A Conversation with SEC Divisions of Examinations and Enforcement

Concurrent Compliance Breakout Sessions

Choose one session to attend. Video recordings of these breakout sessions will be available to attendees shortly after the conference.

Tales from the Crypto Initiative: Investing in Digital Assets
Given the explosion of interest in digital assets and the SEC’s laser focus, here’s what you need to know about compliance issues (whether investing directly or through exchange-traded products), custody by banks and state-chartered trust companies, tokenization, blockchain technology, the jurisdictional tug-of-war, payment stablecoins under the GENIUS Act, market structure legislation, and the SEC’s Crypto Task Force.

Building a Culture of Compliance
For those newer to the compliance role, this panel will review the core parts of compliance programs and advisers’ fiduciary duty, as well as offer tips for time management, prioritizing tasks, and working with the business side.

DOL Rulemaking and Updates on Fiduciary, Retail Alts, and ESG/Proxy Voting
In addition to the continued ping pong ball concerning investment advice, ESG and proxy voting, the DOL is also looking at the investment of alternative assets in 401(k) and other defined contribution plans. This panel will level set the current status of these issues and provide updates on the latest regulatory activities.

GENERAL SESSION: Regulating Intelligence: Navigating Compliance in the Age of AI

As generative and agentic AI tools become embedded in the workflows of investment advisers, compliance officers face a new frontier of regulatory challenges. From AI “washing” and data privacy risks to algorithmic bias and recordkeeping obligations, the stakes are rising. This session explores how firms can responsibly integrate AI while staying aligned with regulatory and client expectations. Panelists will share practical strategies for mitigating risk and preparing for heightened scrutiny as AI reshapes the advisory industry.

Networking Break with Exhibitors

GENERAL SESSION: Ethics for Advisers: Compliance with Fiduciary Standards – Part 1

An adviser’s code of ethics reflects its culture of compliance. Panelists will discuss code of ethics requirements and best practices, including approaches to outside business activities and advisory personnel’s investments in digital assets. This session is approved for one hour of IACCP® continuing education ethics credit.

What to Expect on Day 2

Cocktail Reception

Conference Registration/Exhibit Hall

Breakfast

GENERAL SESSION: A Conversation with SEC Division of Investment Management

GENERAL SESSION: Hot Topics from Inside the Beltway

Gain insights into key policy issues and late-breaking news on Capitol Hill affecting investment advisers, and the IAA’s top priorities. Hear what the IAA is doing to advance your interests in Washington.

Networking Break with Exhibitors

Concurrent Compliance Breakout Sessions

Choose one session to attend. Video recordings of these breakout sessions will be available to attendees shortly after the conference.

Managing Risk and Conflicts of Interest
Become better partners in strategic risk management with ideas for effective and efficient compliance surveillance, tailored to firm size — small, medium, or large. Also get up to speed on the most recent SEC enforcement cases involving conflicts of interest.

LUNCH: AI Use Cases & Demo

Concurrent Compliance Breakout Sessions

Choose one session to attend. Video recordings of these breakout sessions will be available to attendees shortly after the conference.

Retail Alternative Investment Products: Gearing up for New Allocations
The market for alternative investment products for retail investors continues to surge. This panel will untangle the many compliance and regulatory issues that ensue when the registered and private fund spaces start to blend.

Taking Ownership of Beneficial Ownership Filings
Recent SEC staff guidance raised questions about whether an adviser can continue to qualify to file beneficial ownership reports on Schedule 13G when engaging with management, including the implications for engagement activities and proxy voting procedures, and the meaning of a group. Refresh your understanding of advisers’ Exchange Act filing obligations: Schedules 13D and 13G, Form 13F, and Section 16 filings (Forms 3, 4, and 5).

Let’s Talk Trading: Best Execution for Equities and Beyond
Learn how advisers approach trade allocation, soft dollars, and their duty to seek best execution for equities, fixed-income securities, options, digital assets, and more.

Beyond Investment Management: Providing Holistic Services
Regulatory and compliance considerations for wealth management services other than investments, such as tax planning and preparation, estate planning, family office, succession planning, insurance, charitable giving planning, and trust services.

GENERAL SESSION: Ethics for Advisers: Compliance with Fiduciary Standards – Part 2

Close out the conference with a discussion of Section 204A policies and procedures to protect against the misuse of material nonpublic information (MNPI) and prevention of insider trading, whistleblower rule compliance 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.

Closing Remarks and Conference Adjournment

• Karen L. Barr, President & CEO, Investment Adviser Association