2019 IAA Compliance Conference

Starts:  Mar 14, 2019 7:15 AM (ET)
Ends:  Mar 15, 2019 3:00 PM (ET)

The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts.

The conference covers a wide range of compliance issues, both in plenary sessions and in numerous breakout sessions. Video recordings of all breakout sessions are available after the conference exclusively to conference attendees. The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit.   It is also approved for CLE credit and for NASBA CPE credit.        

Key Topics for our 2019 Conference: 

General Sessions

  • Fireside Chat with The Honorable Walter J. Clayton, Chairman, Securities and Exchange Commission (invited)
  • Exams and Enforcement: A Conversation with SEC Division Directors (invited)
  • A Conversation with SEC Division of Investment Management Director (invited)
  • Cybersecurity: What the FBI Wants Advisers to Know         
  • SEC Exams from the Examiners’ Perspective
  • Regulatory Update on SEC Rulemakings
  • Combatting Common Cybersecurity Threats
  • Fiduciary Forum: The Latest Update on All Things Fiduciary
  • Data Privacy Developments
  • Ethics for Advisers


Breakout Sessions 

  • Compliance 101: Tips for Getting Started in Compliance
  • Annual Reviews and the Client Servicing Side of Compliance
  • ESG Investment Process Compliance
  • GIPS 2020: Preparing for the Impact on Advisers’ Marketing Activities
  • Considerations for Senior Clients
  • FinTech/Use of Big Data
  • Tackling Trading
  • Playing by the Rules: Pay-to-Play, Lobbying and Gifts
  • Hedge Funds Hot Topics
  • Private Equity Funds Perspectives
  • Registered Funds Roundup
  • Smaller Advisers: Making the Most of Limited Resources   


The IAA Investment Adviser Compliance Conference takes place at the Hyatt Regency Washington on Capitol Hill in Washington, DC.


Exhibitors and Sponsors

The IAA welcomes exhibitors and sponsors for this event. Opportunities are limited and sell out quickly. For more information, contact IAA Marketing & Partnerships Manager Alex Ioannidis at alex.ioannidis@investmentadviser.org or at (202) 293-4222.

More Information

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

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Lisa Gillette
(202) 293-4222