The Investment Adviser Association is coming to a city near you, and we are excited to visit with IAA members in person once again. This is a fantastic opportunity to get to know your local SEC exams staff in a small-group setting while discussing compliance challenges and exchanging practical ideas with fellow IAA members.
What Can You Expect at a Regional Compliance Roundtable?
Part One: A senior official from your SEC Regional Office will outline the SEC’s national and regional inspection priorities and answer your questions about SEC exams in your region.
Part Two: IAA staff will provide a regulatory update of the myriad of SEC initiatives affecting you and your firm.
Part Three: You will participate in a roundtable with other IAA members to discuss compliance issues, exchange ideas for best practices, and enhance your network of peers.
Registration for the Regional Compliance Roundtables is reserved exclusively for IAA investment adviser members only and is complimentary.