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IAA 2023 Compliance Workshops

Agenda

Virtual

1:00–4:30 p.m. ET (12:00 – 3:30 p.m. CT; 11:00 a.m. – 2:30 p.m. MT; 10:00 a.m. – 1:30 p.m. PT)

1:00 – 1:50 p.m.Current SEC Inspection Priorities and Compliance Issues

  • Vanessa L. Horton, Associate Regional Director, SEC IA/IC Examination Program, Chicago
1:50 – 2:05 p.m.Break
2:05 – 3:05 p.m.Preparing for a Regulatory Deluge

Receive practical tips and up-to-date information to help you prepare for the upcoming regulatory changes.

  • Jason E. Brown, Partner, Ropes & Gray LLP
  • Jaqi Hummel, Director (Regulatory Advisory), ACA Group
  • Valerie Mirko, Partner, Armstrong Teasdale LLP
  • William Nelson, Associate General Counsel, Investment Adviser Association
3:05 – 3:30 p.m.Break
3:30 – 4:30 p.m.New and Notable Focus Areas in SEC Examinations 

Learn what to do to prepare for new focus areas of SEC examinations, to include Risk Alerts, off-channel communications, and more.

  • Jason E. Brown, Partner, Ropes & Gray LLP
  • Dan Campbell, Director, ACA Group
  • Valerie Mirko, Partner, Armstrong Teasdale LLP
  • William Nelson, Associate General Counsel, Investment Adviser Association

In-Person

(Plus Optional Peer-to-Peer Discussion)

9:30 a.m. – 2:45 p.m. local time (Boston – October 10; New York – November 8; Chicago – November 15)

9:30 – 10:20 a.m.Current SEC Inspection Priorities and Compliance Issues

  • Boston: Kevin Kelcourse, Associate Regional Director (Examinations), SEC Boston Regional Office; and Silvestre A. Fontes, Regional Director, SEC Boston Regional Office
  • New York: Maurya Keating, Associate Regional Director (Investment Management), SEC New York Regional Office
  • Chicago: Louis Gracia, Associate Regional Director, Division of Examinations, SEC Chicago Regional Office
10:20 – 10:30 a.m.Break
10:30 – 11:30 a.m.Preparing for a Regulatory Deluge

Receive practical tips and up-to-date information to help you prepare for the upcoming regulatory changes.

  • Boston
    • Joseph M. Mannon, Shareholder, Vedder Price
    • Michael McGrath, Partner, Dechert LLP
    • Craig Moreshead, Partner (Regulatory Advisory), ACA Group
    • Monique Botkin, Associate General Counsel, Investment Adviser Association
  • New York
    • Anne Choe, Partner, Willkie Farr & Gallagher LLP
    • Carlo di Florio, Global Advisory Leader, ACA Group
    • Jamie M. Gershkow, Partner, Stradley Ronon Stevens & Young, LLP
    • Laura Grossman, Associate General Counsel, Investment Adviser Association
  • Chicago
    • Josh Broaded, Head of U.S. Regulatory Compliance, ACA Group
    • Chuck Daly, Counsel, Sidley Austin LLP
    • Christine Ayako Schleppegrell, Partner, Morgan, Lewis & Bockius LLP
    • Sanjay Lamba, Associate General Counsel, Investment Adviser Association
11:30  a.m. – 12:30 p.m.Lunch
12:30 – 1:30 p.m.New and Notable Focus Areas in SEC Examinations 

Learn what to do to prepare for new focus areas of SEC examinations, to include Risk Alerts, off-channel communications, and more.

  • Boston
    • Joseph M. Mannon, Shareholder, Vedder Price
    • Michael McGrath, Partner, Dechert LLP
    • Craig Moreshead, Partner (Regulatory Advisory), ACA Group
    • Monique Botkin, Associate General Counsel, Investment Adviser Association
  • New York
    • Anne Choe, Partner, Willkie Farr & Gallagher LLP
    • Carlo di Florio, Global Advisory Leader, ACA Group
    • Jamie M. Gershkow, Partner, Stradley Ronon Stevens & Young, LLP
    • Laura Grossman, Associate General Counsel, Investment Adviser Association
  • Chicago
    • Josh Broaded, Head of U.S. Regulatory Compliance, ACA Group
    • Chuck Daly, Counsel, Sidley Austin LLP
    • Christine Ayako Schleppegrell, Partner, Morgan, Lewis & Bockius LLP
    • Sanjay Lamba, Associate General Counsel, Investment Adviser Association
1:30 – 1:45 p.m.Break
1:45 – 2:45 p.m.Optional Peer-to-Peer Discussion

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