Now in its 23rd year, the IAA Compliance Workshop Series is 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 from other IAA member firms in the Houston area.
2525 West Loop South
Houston, TX 77027
The Great Room, lobby level
The workshop will address important compliance-related topics for SEC-registered investment advisers.
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 during which attendees can exchange ideas about shared compliance concerns.
SEC Regional Staff Speaker
Hear directly from senior staff in your SEC Regional Office discuss current SEC examination priorities for advisers.
Brief Regulatory Update
IAA attorneys will provide the latest updates on SEC and other key regulatory developments from Washington, DC, including takeaways from the SEC’s Investment Adviser Standard of Conduct Interpretation.
Form CRS for Advisers to Retail Investors: Compliance and Best Practices
Learn about implementation issues and get tips on preparing your Form CRS for retail investors by July 2020. The panel will discuss (a) required content and format of disclosures on the adviser’s standard of conduct, services offered, fees, costs, conflicts of interest, and more; (b) delivery, filing, and updating requirements; and (c) compliance policies and procedures for preparing the Form CRS.
SEC Exams: The SEC Process and Your Preparation
Learn how OCIE selects and examines investment advisers, uses data and analytics, and determines the scope of what to examine at a firm. The panel will discuss best practices in preparing in advance for an exam, including necessary documentation and ways to engage your teams, as well as steps to consider during the exam process itself.
Managing Data Privacy Compliance
This panel will provide key updates and best practices on ongoing data privacy protection issues, including a discussion of the SEC’s Reg S-P and Identity Theft Red Flags Rule, EU GDPR implementation issues, the impact of the California Consumer Privacy Act of 2018, and other relevant state law developments. Hear how firms are complying with an avalanche of regulations in this area and its relation to cybersecurity.
Click the “Registration” link on the right side of this page. If you have questions, please contact the IAA at firstname.lastname@example.org or (202) 293-4222.
|Workshop Registration Fees
|| IAA Member
| IAA Associate
|Early Bird Rate
Register on or before Sept. 28, 2019
Register between Sept. 29 – Oct. 18, 2019
|Late Registration Rate
Register on or after Oct. 19, 2019
*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 22. 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 email@example.com. Substitutions may be made at any time at no additional fee. If you have any questions regarding administrative policies, contact the IAA office at (202) 293-4222.
Information regarding IAA’s Financial Hardship Policy is available here.
Continuing Education Credits
NRS IACCP Credit:
IAA’s Compliance Workshops are approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. IACCP ® designees are responsible for reporting their continuing education activities by NRS’ reporting period deadline. Instructions for reporting CE activities are available in NRS’ IACCP CE Guide.
CLE accreditation is pending in CA, GA, PA, and TX.
NH: The provider believes this course meets the requirement of NH Supreme Court Rule 53.
NY: Under New York’s Approved Jurisdiction policy, New York attorneys may claim credit earned through participation in out-of-state courses accredited by a New York Approved Jurisdiction. More information is available on the NY State Bar website.
For more information or to request that your state be included, please contact firstname.lastname@example.org.
NASBA CPE Credit:
CPE credit is available for the IAA Compliance Workshops. Exact credit hours will be available in September. The IAA Compliance Workshops are presented in a group-live setting, and is appropriate for intermediate and advanced skill levels. Previous courses in securities law, or comparable work experience in the investment advisory industry is suggested. Advance preparation for the event is not required.
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.
Thank you to our 2019 Compliance Workshop Series Sponsor, ACA Compliance Group.