Interactive sessions. Practical insights. Peer-to-peer networking.
Sessions include:
A discussion about current SEC examination priorities and compliance issues with senior regional officials from the SEC.
Regulation S-P & Data Privacy: Practical tips to help you implement the SEC’s final Regulation S-P amendments, including requirements for data privacy governing the protection of clients’ non-public personal information, an incident response plan, data breach notification, and vendor oversight.
IAs Using AI: Learn the latest on the evolving legal and regulatory framework for advisers’ use of artificial intelligence (AI) in areas such as legal and compliance; investor communications and marketing; and portfolio management and investment decision making. Our discussion will cover managing AI use under the compliance program and recordkeeping rules, addressing governance and risk management, identifying and mitigating conflicts, selecting and overseeing vendors, disclosure, and training.
Join the IAA legal team and expert practitioners in a city near you or join us virtually. The in-person programs are scheduled for 8:00 a.m. to 12:15 p.m. local time with a networking breakfast. The virtual workshop on December 3 is scheduled for 1:00-4:10 p.m. ET. CLE is available.
- Chicago: October 1
- New York: October 7
- Boston: November 12
- Atlanta: November 18
- Austin: November 19
- Virtual: December 3
- Los Angeles: December 9
Attendees will also be offered an opportunity to participate in a peer-to-peer discussion after the panels. We look forward to seeing you there.
Who Should Come?
Participants include in-house and third-party compliance and legal professionals, including chief compliance officers, in-house counsel, compliance specialists, and senior staff.
“The IAA’s 2022 Compliance Workshop was extremely informative, well-organized, and well-developed. The speakers were able to provide additional context and insight into the SEC’s new marketing rule, which has been invaluable as our firm completes the implementation of its changes in anticipation of the forthcoming compliance date.” – Senior Compliance Administrator, $47B AUM
“The IAA puts thought into its content and this year’s virtual Compliance Workshop exceeded my expectations. The focus on the new SEC Marketing Rule with the addition of “Issue Spotting Exercises” was wonderful. I was able to ask my questions of the speakers and then used the information presented in practice through the exercises. I feel better prepared to adopt my policies based on what was presented.” – Chief Compliance Officer, $4B AUM
“The Boston Compliance workshop was excellent. Honestly, I thought I was well prepared for the marketing rule, but the session opened my eyes to a couple of essential aspects of the rule. Thanks to the compliance workshop, I can address these issues before November 4th. Well worth my attendance.” – Principal, Chief Compliance Officer, and Chief Operating Officer, $2B AUM
