2020 Compliance Workshops

Starts:  Dec 2, 2020 12:30 PM (ET)
Ends:  Dec 3, 2020 4:00 PM (ET)

This year, the IAA’s Compliance Workshops will take place virtually over two half days, December 2-3, 2020. The workshops offer an excellent opportunity to gain practical insights and up-to-date information on challenging legal and regulatory issues affecting SEC-registered investment advisers. SEC Regional staff, attorneys from nationally recognized law firms, CCOs and in-house counsel, compliance consultants, and IAA legal staff will explore current examination priorities and focus on pressing compliance and implementation issues for investment advisers.

Who Should Attend

Participants include advisory compliance and legal professionals, including Chief Compliance Officers, General Counsel, In-House Counsel, Compliance Officers and other advisory personnel.

Schedule

For the full schedule and additional information, click here.

Registration

To register: Click the "Register Now" button on this page. 

2020 Compliance Workshops

IAA Member*

$95

IAA Associate Member*

$125

Non-IAA Member

$195


*Individuals employed by an IAA member or associate member firm in good standing, both at the time of registration and on the date of the event, are eligible to receive the appropriate discounted member/associate member rate.

Questions?

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