Compliance Conference Videos
The IAA's Investment Adviser Compliance Conference features expert presenters and panelists — including SEC representatives, in-house legal counsel and compliance specialists, partners with leading law firms and IAA staff attorneys. Below are video highlights of major presentations and conversations with policymakers and regulators from recent Compliance Conferences. Full video presentations of three breakout sessions from the 2017 Compliance Conference —on compliant advertising and marketing materials considerations for advisers with aging clients, and key issues in negotiating vendor contracts — are also featured below.
SEC Officials on Fiduciary Rules, Cryptocurrencies, Self-Reporting and More
SEC Commissioner Hester Peirce, Division of Investment Management Director Dalia Blass, Enforcement Co-Director Stephanie Avakian, OCIE Director Peter Driscoll and SEC Investor Advocate Richard Fleming gave their views on a wide range of topics affecting investment advisers at the 2018 IAA Investment Adviser Compliance Conference. View the full playlist.
A Conversation with Acting SEC Chairman Michael Piwowar (2017)
SEC Commissioner Michael Piwowar – who served as the agency’s acting chairman after the departure of Mary Jo White in January 2017 and Jay Clayton’s confirmation in May – discussed a range of topics with IAA President & CEO Karen Barr in the 2017 Compliance Conference’s keynote, including the DOL Fiduciary Rule and the SEC’s challenges in formulating its own universal fiduciary rule for advisers and brokers. View the full playlist.
IAA Compliance Conference Breakout Sessions (2017)
IAA Compliance Conferences offer a number of breakout sessions on a wide variety of topics. In response to requests from past conference attendees who told us they were not able to attend all of the sessions they were interested in, the IAA now makes video recordings of all breakout sessions available online, exclusively to conference attendees. We are making a sampling of 2017 breakout sessions publicly available in this playlist. View the full playlist.
A Conversation with SEC Commissioner Kara Stein (2016)
In their “keynote conversation” for the 2016 Compliance Conference, SEC Commissioner Kara Stein and IAA President Karen Barr explored a variety of issues - including systemic risk, robo advisers, CCO liability and expanded regulatory data gathering. View the full playlist.
SEC Investment Management Director David Grim and OCIE Director Marc Wyatt (2016)
Mandated third-party reviews of investment advisers, how data gathering determines which advisers the SEC will examine, the status of rulemaking on a uniform fiduciary standard for brokers and advisers -David Grim, Director of the SEC's Division of Investment Management, and Marc Wyatt, Director of the SEC's Office of Compliance Inspections and Examinations (OCIE) discussed a range of topics with IAA President & CEO Karen Barr at the 2016 IAA Compliance Conference. View the full playlist.
SEC’s DERA Director Mark Flannery and Enforcement Chief Counsel Joseph Brenner (2016)
Then-IAA General Counsel Bob Grohowski discussed SEC Enforcement priorities and the role "big data" plays in SEC enforcement, examinations and policy decisions with Mark Flannery, Director of the Division of Economic and Risk Analysis, and Joseph Brenner, Chief Counsel for SEC Enforcement, at the 2016 IAA Compliance Conference. View the full playlist.