2019 Compliance Conference

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Investment Adviser Compliance Conference


The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts.

The conference covers a wide range of compliance issues, both in plenary sessions and in numerous breakout sessions. Video recordings of all breakout sessions are available after the conference exclusively to conference attendees. The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit.   It is also approved for CLE credit and for NASBA CPE credit.        

Key Topics for our 2019 Conference: 

(The full agenda is available here.)

General Sessions

  • Fireside Chat with The Honorable Robert J. Jackson Jr., Commissioner, Securities and Exchange Commission (invited)
  • Exams and Enforcement: A Conversation with SEC Division Directors (invited)
  • A Conversation with SEC Division of Investment Management Director (invited)
  • Cybersecurity: What the FBI Wants Advisers to Know         
  • SEC Exams from the Examiners’ Perspective
  • Regulatory Update on SEC Rulemakings
  • Combatting Common Cybersecurity Threats
  • Fiduciary Forum: The Latest Update on All Things Fiduciary
  • Data Privacy Developments
  • Ethics for Advisers

Breakout Sessions 

  • Compliance 101: Tips for Getting Started in Compliance
  • Annual Reviews and the Client Servicing Side of Compliance
  • ESG Investment Process Compliance
  • GIPS 2020: Preparing for the Impact on Advisers’ Marketing Activities
  • Considerations for Senior Clients
  • FinTech/Use of Big Data
  • Tackling Trading
  • Playing by the Rules: Pay-to-Play, Lobbying and Gifts
  • Hedge Funds Hot Topics
  • Private Equity Funds Perspectives
  • Registered Funds Roundup
  • Smaller Advisers: Making the Most of Limited Resources   

Registration

Register Now

Register by January 18 to take advantage of the early registration discount.

CONFERENCE REGISTRATION FEES Early On/By 1/18/19 Regular On/By 2/20/19 Late/Full On or after 2/21/19
Member $1,195 $1,395 $1,595
Associate Member $1,395 $1,595 $1,795
Non-Member $1,695 $1,895 $2,095

*Individuals employed by an IAA member or associate member firm in good standing, both at the time of registration and on the date of the event, are eligible to receive the appropriate discounted member/associate member rate. 

Regulators: A discounted conference registration fee for federal and state regulators is available. Contact the IAA at (202) 293-4222 for information.

Cancellation and Substitution Policy:
If unable to attend, registrants are welcome to send a substitute for no additional fee. Cancellations must be received in writing. There is a $100 cancellation fee if cancellation is received on or before February 28, 2019. No refunds or credit is given for cancellations received on or after March 1, 2019. There are no refunds for “no shows.” For questions or more information regarding refunds, concerns, and program cancellation policies, please contact the IAA at (202) 293-4222.

Continuing Education Credit
CLE, IACCP, and NASBA CPE Credit Available.

Venue

The IAA Investment Adviser Compliance Conference takes place at the Hyatt Regency Washington on Capitol Hill in Washington, DC.


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Exhibitors and Sponsors

The IAA welcomes exhibitors and sponsors for this event. Opportunities are limited and sell out quickly. For more information, contact IAA Marketing & Partnerships Manager Alex Ioannidis at alex.ioannidis@investmentadviser.org or at (202) 293-4222.

More Information

For more information about the Compliance Conference, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or at lisa.gillette@investmentadviser.org.