The IAA Compliance Workshops, sponsored by Treliant Risk Advisors, are an excellent opportunity to gain practical insights into challenging legal and regulatory issues facing SEC-registered investment advisers, and to meet compliance and legal professionals at other IAA member firms.
Yale Club of New York City
50 Vanderbilt Ave. (between 44th & 45th Streets)
New York, NY 10017
Business casual: for men, collared shirts, turtlenecks or sweaters; dress slacks, khakis or corduroy trousers; and socks. For women, collared shirts; blouses, turtlenecks or sweaters; and skirts or tailored pants.
This workshop will address important compliance-related topics for SEC-registered investment advisers. A roster of our speakers, with their bios, is available here.
- Hear members of SEC Headquarters or SEC Regional Offices discuss current examination priorities for advisers.
- Learn about key regulatory developments and the latest updates from Washington from IAA attorneys.
- Participate in a hands-on workshop session analyzing a “bad ad” to identify and resolve common compliance issues in advertisements and marketing materials, including issues related to performance claims, social media, and more.
- Work through a checklist of the new Form ADV Part 1A amendments to identify where you need to focus to prepare for your next filing.
- Explore techniques and processes to help oversee third-party service providers – including due diligence, documentation and handling cybersecurity issues.
In addition to SEC staff, speakers will include attorneys from nationally recognized law firms, CCOs, compliance consultants, and IAA legal staff. The workshop will include a networking luncheon where attendees can exchange ideas about shared compliance concerns.
Treliant’s trusted advisory services focus on meeting the growing needs of its clients in the compliance, risk management, and operational landscape. As a privately-owned firm of leading professionals from industry and government, Treliant helps bankers, lenders, mortgage and brokerage companies, and FinTech firms grow and serve consumer, small business, and capital markets clients while navigating the changing policies, rules, and agencies influencing financial services providers. Treliant focusses on the industry’s most pressing concerns, including consumer compliance, mortgage operations, financial crimes, financial markets conduct and compliance, fair lending, litigation support, and operational risk. The firm serves clients from Main Street to Wall Street and across the globe, often in partnership with premier law firms. Treliant continues to grow in the service of its clients, with headquarters in Washington, DC and offices in Dallas and New York. For more information, visit www.treliant.com.
Click the “Register” button on this page. If you have any questions, please contact the IAA at email@example.com or (202) 293-4222.
|Workshop Registration Fees
|| IAA Member
| IAA Associate
|Early Bird Rate
Register on or before Sept. 25, 2017
Register between Sept. 26 – Oct. 15, 2017
|Late Registration Rate
Register on or after Oct. 16, 2017
*Employees of firms that are current members of the Investment Adviser Association (at the time of registration and on the day of the meeting) are eligible to receive the member firm rate.
Consent to the Use of Registrant’s Image or Voice: Registration and attendance at, or participation in, IAA live events constitutes an agreement by the registrant that IAA may use and distribute the registrant’s image or voice in photographs, videotapes, electronic reproductions and audiotapes, both now and in the future.
If you find it necessary to cancel your workshop registration, IAA will refund your registration fee (less $50 administration fee) if you inform us on or before October 19. No refunds will be made after that point. There will be no refund for “no shows.” Notice of cancellation must be received in writing at firstname.lastname@example.org. Substitutions may be made at any time at no additional fee. Please let us know if you have any questions regarding the administrative policies by contacting the IAA office at (202) 293-4222.
Contact the IAA at (202) 293-4222 or email@example.com.
Information regarding IAA’s Financial Hardship Policy is available here.
Continuing Education Credits
The workshops are approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit.
CLE accreditation is pending in CA, GA, IL, NY, PA, and TX.
CO: Submit the "Uniform Certificate of Attendance" provided along with a statement certifying that the CLE program is accredited in another mandatory CLE state.
NH: The provider believes this course meets the requirement of NH Supreme Court Rule 53.
For more information or to request that your state be included, please contact Lisa Gillette at firstname.lastname@example.org. Additional information will be available soon.
NASBA CPE Credit:
CPE credit is available for the IAA Compliance Workshops. Exact credit hours will be available when the agenda is published. The IAA Compliance Workshops are presented in a group-live setting, and are appropriate for intermediate and advanced skill levels. Previous courses in securities law, or comparable work experience in the investment advisory industry, is required. Advance preparation for the event is not required.
The Investment Adviser Association is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.