Compliance Workshops

Compliance Workshops

IAA's 2020 Virtual Compliance Workshops

This year, the IAA’s Compliance Workshops will take place virtually over two half days, December 2-3, 2020. The workshops offer an excellent opportunity to gain practical insights and up-to-date information on challenging legal and regulatory issues affecting SEC-registered investment advisers. SEC Regional staff, attorneys from nationally recognized law firms, CCOs and in-house counsel, compliance consultants, and IAA legal staff will explore current examination priorities and focus on pressing compliance and implementation issues for investment advisers.

Who Should Attend

Participants include advisory compliance and legal professionals, including Chief Compliance Officers, General Counsel, In-House Counsel, Compliance Officers and other advisory personnel.

Schedule     

Wednesday, December 2    

12:30 to 4:30pm ET/11:30am to 3:30pm CT/9:30am to 1:30pm PT 

  • Welcome, Regulatory and Legislative Update
  • Hot Topics and Implementation Challenges for Advisers
  • Concurrent Breakout Sessions – SEC Regional Offices:
  1. Atlanta Regional Office
  2. Boston Regional Office
  3. San Francisco Regional Office
  • Concurrent Breakout Sessions – SEC Regional Offices:
  1. Chicago Regional Office
  2. Denver Regional Office
  3. Philadelphia Regional Office
  • Key Takeaways from SEC Sessions
  • Virtual Meet and Greet

 

Thursday, December 3        

12:30 to 4:00pm ET/11:30am to 3:00pm CT/9:30am to 1:00pm PT

  • Ask the Experts: Concurrent Breakout Sessions
  1. Smaller Firms Up to $10 Billion RAUM
  2. Larger Firms Over $10 Billion RAUM
  • Concurrent Breakout Sessions – SEC Regional Offices
  1. Fort Worth Regional Office
  2. New York Regional Office
  3. Los Angeles Regional Office
  • Key Takeaways from SEC Sessions
  • Conflicts and Fiduciary Duty: Obligations for Identifying, Managing, and Disclosing Conflicts of Interest

 

Program Details

  • Welcome, Regulatory and Legislative Update. IAA staff will provide the latest updates on SEC and other key regulatory and legislative developments from Washington, DC.
  • Hot Topics and Implementation Challenges for Advisers. Learn about new and upcoming regulatory requirements and implementation challenges for advisers, including changes to the Advertising Rule, the Solicitation Rule, proxy voting, Form CRS, examinations, and other hot topics. Hear insights into where the SEC is focusing its resources so firms can analyze their risk profiles in light of new and impending changes. Take away best practices to implement and identify pitfalls to avoid.
  • SEC Regional Speakers – Select One SEC Regional Office Per Session. Hear directly from senior staff in SEC Regional Offices as they discuss current SEC examination priorities for advisers. These panels on each day will include three SEC Regional Office speakers in three different breakout sessions.
  • Ask the Experts – Smaller and Larger Firm Breakouts. Panelists will discuss the risks and operational issues facing advisory firms related to the coronavirus pandemic, including supervision, maintaining robust compliance programs, cybersecurity, third-party vendor oversight, data management, and other topics that attendees would like to raise. Send your questions in advance to iaalegalteam@investmentadviser.org.
  • Conflicts and Fiduciary Duty: Obligations for Identifying, Managing, and Disclosing Conflicts of Interest. Learn how advisers identify, disclose, and manage conflicts of interest, and periodically assess these processes. This panel will discuss the SEC’s actions in this area, including its fiduciary duty interpretation and recent enforcement actions.

Registration Information

Thanks to Our Sponsors

       

Questions?

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