2020 Compliance Conference

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2020 IAA 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 will 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.

Agenda

Our 2020 conference – on March 5-6 in Washington, DC – will cover a wide range of topics, including preparing for new Form CRS; strategies for managing an SEC exam; data privacy; cybersecurity; technology; trading and best execution; ethics; and much more. Details are available in the full conference agenda.

KEY TOPICS

General Sessions:

  • Conflicts of Interest
  • Data Privacy
  • Conversations with Senior SEC OCIE and IM Staff
  • The Future of the Industry
  • Hot Regulatory and Capitol Hill Topics
  • Using Technology to Automate Compliance

Breakout Sessions: 

  • A Week in the Life of a CCO
  • Client Servicing/Onboarding
  • Cybersecurity
  • ESG Investing
  • Ethics
  • Form CRS
  • GIPS
  • Private Equity Funds
  • Proxy Voting
  • Registered Funds
  • SEC Exams
  • Trading and Best Execution
  • Training
  • Vendor Due Diligence

Registration

Access the fee schedule, and hotel and airline discount information and related information.  

REGISTER NOW


NEW VENUE! The 2020 IAA Investment Adviser Compliance Conference will take place at the JW Marriott Washington DC, near the White House.
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Sponsor & Exhibitor Opportunities

Conference sponsorship and exhibition opportunities are available for this event. Please contact Alex Ioannidis, Manager of Marketing & Partnerships at alex.ioannidis@investmentadviser.org for information.

Continuing Education Credit

The conference is approved for NRS (IACCP®) continuing education credit, CLE credit and NASBA CPE Credit. For details, see our Continuing Education page.

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.

Thanks to our 2020 Conference Sponsor
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