The IAA’s Compliance Workshops offer an excellent opportunity to gain practical insights on challenging legal and regulatory issues affecting SEC-registered investment advisers.
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
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]
Third-party Due Diligence
Form ADV Part 1A Amendments
(Schedule is subject to adjustment.)
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 firstname.lastname@example.org.
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.
For more information, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or email@example.com.