2019 Compliance Conference


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.        

Our 2018 Compliance Conference Program

The IAA’s successful 2018 Compliance Conference featured a keynote by SEC Commissioner Hester Peirce, while other agency officials – including OCIE Director Peter Driscoll, Enforcement Co-Director Stephanie Avakian, Investment Management Director Dalia Blass and Investment Management Deputy Director Paul G. Cellupica.

The breadth of the 2018 Compliance Conference is demonstrated by the conference agenda, speakers roster and videos.


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


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.