Compliance Workshops

Compliance Workshops

The IAA’s Compliance Workshops offer an excellent opportunity to gain practical insights on challenging legal and regulatory issues affecting SEC-registered investment advisers.

2017 Compliance Workshops, sponsored by Treliant 

The dates and locations for the IAA's 2017 Compliance Workshops are listed below. Registration will open this summer.

Presenters

Speakers include IAA legal staff and attorneys from nationally recognized law firms, as well as a representative from the SEC who discusses the agency’s current priorities and issues for advisers.

  • Law Firm Partners
  • Investment Adviser Association Attorneys
  • SEC Representative

Schedule

Workshop sessions cover need-to-know information and hot topics for investment advisers. After lunch, an SEC representative discusses current inspection priorities and other issues of interest to advisory firms.

9:15 am - 9:30 am
9:30 am - 10:15 am

10:15 am - 10:30 am
10:30 am - 11:30 am
11:30 am - 12:30 pm
12:30 pm - 1:15 pm
1:15 pm - 2:00 pm
Welcome Remarks and Regulatory Update
Current SEC Inspection Priorities and Compliance Issues
[U.S. Securities and Exchange Commission representative]
Networking Break
Advertising
Third-party Due Diligence
Networking Lunch
Form ADV Part 1A Amendments

(Schedule is subject to adjustment.)

Participants

Participants include in-house and third party compliance and legal professionals:

  • Chief Compliance Officers
  • In-House Counsel
  • Compliance Specialists
  • Senior Staff

Continuing Education Credits

The workshops will be approved for CLE, CPE and IACCP continuing education credit. IAA will apply for CLE accreditation in certain states. For more information or to request that your state be included for CLE credit, please contact Megan Olson at megan.olson@investmentadviser.org.

Registration

For more information, see Upcoming IAA Events or contact the IAA. Employees of firms that are current members of the Investment Adviser Association are eligible to receive the discounted member rate.

More Information

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