Compliance Workshops

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2018 Compliance Workshops

The IAA’s Compliance Workshops, offered in cities across the country each fall, offer an excellent opportunity to gain practical insights and up-to-date information 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, including a comprehensive regulatory update.

At each of the IAA’s 2018 Compliance Workshops, SEC Regional staff, attorneys from nationally recognized law firms, CCOs, compliance consultants and IAA legal staff will explore current examination priorities – and focus in-depth on three important issues for investment advisers. Each workshop will run from 9 a.m. to 2 p.m. and will include a networking luncheon for attendees to get to know one another and share compliance strategies.

2018 Compliance Workshop Agenda

  • SEC Regional Staff Speaker. Hear SEC staff from your city’s Regional Office discuss current examination priorities for advisers.
  • Regulatory Update. Learn about key regulatory developments and the latest updates from Washington from IAA attorneys.
  • Panel 1 - Drafting Effective Disclosures: Conflicts, Fees, Expenses, and More. Walk through disclosure documents and other material with expert panelists to identify best practices and ways to avoid common pitfalls in drafting Form ADV and other disclosures.
  • Panel 2 - Benchmarking your Compliance Testing. Dive into common compliance program testing techniques included in the IAA’s 2018 Compliance Testing Survey. Compare best practices and learn about strategies and guidelines for maintaining a robust and responsive compliance testing program, including reviewing and testing various fees and expenses.
  • Panel 3 - Electronic Communications Management. Review managing electronic communications – including issues around recordkeeping, social media, email, Cloud storage, device management, and cybersecurity. The panel and attendees will discuss compliance with Advisers Act rules and other relevant regulations, as well as best practices.

2018 Compliance Workshop Schedule

In 2018, the IAA will host eight compliance workshops. Click on the date and location for detailed information about that city’s workshop and online registration for that workshop. Details about the speakers for each workshop are available in the navigation bar on the right side of this page.

October 10 – Washington, DC

October 11 – New York

October 17 – Los Angeles

October 18 – San Francisco

October 23 – Atlanta

October 25 – Austin

November 7 – Boston

November 8 – Chicago

Registration for 2018 Workshops

Please click on the date/location of the workshop you wish to attend to register for that workshop. Employees of firms that are current members of the Investment Adviser Association are eligible to receive the discounted member rate.

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.

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