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

Registration Information

Venue Information

Continuing Education

Purchase Materials & Recordings

Compliance Workshops Homepage

Contact

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

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