Compliance Workshops

Compliance Workshops

The IAA’s Compliance Workshops, offered in cities across the country each fall, offer an excellent opportunity gain practical insights on challenging legal and regulatory issues affecting SEC-registered investment advisers – as well as a forum for compliance professionals to engage with their peers. These one-day sessions provide need-to-know information on current hot topics. After a regulatory update from the IAA legal staff, compliance professionals and legal experts, an SEC representative discusses current inspection priorities and other relevant issues.

Participants

Participants include in-house and third party compliance and legal professionals, including Chief Compliance Officers, In-House Counsel, Compliance Specialists and Senior Staff.

Continuing Education Credits

The workshops are approved for CLE, CPE and IACCP continuing education credit.

Registration for 2018 Workshops

Information about IAA’s 2018 Compliance Workshop series will be posted here this summer. Employees of firms that are current members of the Investment Adviser Association are eligible to receive the discounted member rate.

2017 Compliance Workshops a Great Success


2017 Workshops Sponsor

The IAA extends a special thank you to the more than 300 individuals who participated in our 2017 Compliance Workshops. The workshops, sponsored by Treliant, were held in 10 cities – Washington, DC, Philadelphia, New York, Chicago, Boston, Dallas, Atlanta, Denver, San Francisco and Los Angeles. They addressed a range of important topics, including SEC examination priorities and other compliance issues for advisers. Attendees participated in a hands-on workshop session on analyzing "bad ads," explored techniques and processes to help oversee third-party service providers, and worked through a checklist of the new Form ADV Part 1A amendments to identify where they need to focus to prepare for their next filing.

Workshop speakers included investment management attorneys from leading law firms, compliance consultants, IAA legal staff, and officials from the Securities and Exchange Commission. The IAA greatly appreciates the contributions of the many presenters who helped make the workshops a success:

Bryan M. Bennett, Associate Regional Director, SEC Los Angeles Regional Office

Gail Bernstein, General Counsel, Investment Adviser Association

Kenneth L. Bossert, Assistant Regional Director, SEC Denver Regional Office

Monique Botkin, Associate General Counsel, Investment Adviser Association

Sarah Buescher, Associate General Counsel, Investment Adviser Association

G. Jeffrey Boujoukos, Director, SEC Philadelphia Regional Office

John P. Carey, Senior Advisory Board Member, Treliant

Jennifer Ciresi, Deputy General Counsel, Hall Capital Partners LLC

Kenny Clowers, Senior Principal Consultant, ACA Compliance Group

Scot E. Draeger, Vice President and General Counsel, R. M. Davis, Inc.

Donna C. Esau, Associate Regional Director, SEC Atlanta Regional Office

B. Scott Fisher, Managing Director, Treliant

Mayeti Gametchu, Assistant Regional Director (IA/IC), SEC Boston Regional Office

Marshall Gandy, Senior Officer and Associate Regional Director, SEC Fort Worth Regional Office

Paul Glenn, Special Counsel, Investment Adviser Association

Alan Goldberg, Partner, Stradley Ronon Stevens & Young, LLP

Laura Grossman, Assistant General Counsel, Investment Adviser Association

Vanessa Horton, Assistant Regional Director, SEC Chicago Regional Office

Kelley A. Howes, Of Counsel, Morrison & Foerster LLP

Michelle Jacko, Managing Partner & CEO, Jacko Law Group, PC

Dan Kahl, Associate Director and Chief Counsel for OCIE, SEC

Michelle Kennedy, President, Compass Compliance Services, LLC

Jennifer Klass, Partner, Morgan, Lewis & Bockius LLP

Sanjay Lamba, Assistant General Counsel, Investment Adviser Association

Rachel Lavery, Senior Counsel (IA/IC), SEC New York Regional Office

Paul Levenson, Director, SEC Boston Regional Office

Steven Levine, Associate Regional Director (IA/IC), SEC Chicago Regional Office

David Lui, Principal, Galliard Capital Management, Inc.

Ross Marrazzo, CFE, Managing Director, Treliant

Michael McGrath, Partner, K&L Gates LLP

Constandino J. Papagiannis, Senior Director, Treliant

Amy Ward Pershkow, Partner, Mayer Brown LLP

Mari-Anne Pisarri, Partner, Pickard Djinis and Pisarri LLP

Robert E. Plaze, Partner, Proskauer Rose LLP

George Raine, Partner, Ropes & Gray LLP

Lori Renzuli, CCO & Chief Counsel, Harding Loevner LP

Marla Roeser, CCO, Bridgewater Wealth and Financial Management

Anne Salvador, Examination Manager, SEC Chicago Regional Office

Michael L. Sherman, Partner, Dechert LLP

Linda Shirkey, President, The Advisor’s Resource, Inc.

Kristin Snyder, Co-National Associate Director (IA/IC), SEC San Francisco Regional Office

Chris Stanley, Founding Principal, Beach Street Legal

Stefanie Sundel, Securities Compliance Examiner, SEC New York Regional Office

Steven Yadegari, COO and General Counsel, Cramer Rosenthal McGlynn, LLC

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