2021 Compliance Conference


2021 Virtual Investment Adviser Compliance Conference

March 3-5, 2021

This year, the IAA’s annual Investment Adviser Compliance Conference will take place virtually. Over three half-days, the conference will provide investment advisers with the most current information available on the changing regulatory landscape. In addition to virtual interaction with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts. Gain practical insights and knowledge of best practices that will help you maintain a successful compliance program -- from the location of your choice!


Our 2021 conference will cover a wide range of topics, including risk management; Department of Labor rules and guidance impacting investment advisory firms; international developments; ESG investing and implementation; ethics; and much more.


General Sessions:

  • Fireside Chat with SEC Commissioner
  • Investment Management: A Conversation with SEC Division Director
  • Hot Topics from Inside the Beltway
  • A Conversation with the Directors of Examinations, Enforcement, and the Division of Economic and Risk Analysis
  • SEC Examinations
  • Cybersecurity and Data Privacy
  • Guest Speaker: Diversity, Equity, and Inclusion and Compliance in the Investment Management Industry
  • Marketing

Breakout Sessions:

  • Adapting Technology to Improve Compliance Efficiency and Results
  • COVID-19 Impacts
  • ERISA Issues Facing Investment Advisers
  • ESG Investing and Implementation
  • Ethics for Advisers
  • Individual Clients: Retail and Senior Client Matters
  • International Developments
  • Private Equity Funds Update
  • Registered Funds: The Latest Developments
  • Risk Management
  • The Third Line of Defense: The Intersection of the Audit and Compliance Functions



Sponsors & Exhibitors

Please contact IAA Manager, Marketing & Partnerships Alex Ioannidis at alex.ioannidis@investmentadviser.org for information about sponsorship and exhibiting opportunities.

Continuing Education Credit

The conference is approved for NRS (IACCP®) continuing education credit and NASBA CPE Credit. CLE and CFP credit approvals are pending. 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.