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2017 Investment Adviser Compliance Conference

March 2-3, 2017
Washington, DC

The biggest challenges facing investment advisory compliance officers will take center stage at the IAA’s 2017 Investment Adviser Compliance Conference, March 2-3, in Washington, D.C. Our comprehensive, two-day program is widely considered the premier industry compliance event, featuring an impressive roster of regulators, industry compliance professionals, and legal experts presenting the most up-to-date information on the changing regulatory landscape – with an emphasis on new and upcoming regulatory requirements, as well as practical compliance information.

Not only will participants return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program – they will have the opportunity to meet and interact with their professional peers to discuss issues of common concern.

View the full conference brochure.

View the full conference agenda.

General Sessions

The General Sessions cover a variety of compliance topics that address new developments and critical issues. Topics include:

  • Keynote by SEC Acting Chairman Michael S. Piwowar
  • Conversation with SEC Division Directors: Investment Management, OCIE, DERA
  • Critical Issues in Cybersecurity
  • The Latest from Washington: Capitol Hill and the Regulators
  • Implementing Form ADV Part 1 Amendments
  • Business Continuity and Transition Plans
  • Anti-Money Laundering Programs
  • SEC Examination and Enforcement Developments
  • Key Trading Issues
  • Ethics

Breakout Sessions

Breakout Sessions address a variety of special interest topics. Videos of all breakout sessions except Compliance Issues for Private Equity Fund Advisers will be available online exclusively to conference attendees by mid-March. Breakout session topics are:

  • Compliance with the DOL Fiduciary Rule for Advisers with Individual Clients
  • Compliance with the DOL Fiduciary Rule for Institutional Advisers
  • Preparing Compliant Advertising and Marketing Materials (including GIPS)
  • Compliance Issues for Private Equity Fund Advisers
  • Considerations for Advisers with Aging Clients
  • Key Issues in Negotiating Vendor Contracts and Vendor Due Diligence

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Registration for this event is now closed.

Conference Fees IAA
Members*
IAA
Associate
Members*
Non-
Members
Late Registration (Register on or after February 11, 2017) $1,495 $1,595 $1,795

*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.

Regulators: A discounted conference registration fee for federal and state regulators is available. Contact the IAA at (202) 293-4222 for information.

Conference Materials:
The IAA is committed to reducing the environmental impact of this conference by reducing its printed materials and aligning its eco-efforts with the goals of SustainableDC –– the District’s major planning effort to make the city the most sustainable in the nation. All conference registrants will have access to the conference materials electronically through IAA’s website. An option to order a printed copy of the materials is available when registering.

Digital Included
Digital and Binder Plus $45.00

Conference attendees may view the materials online or in the conference app emailed to you.

Cancellation and Substitution Policy:
If unable to attend, registrants are welcome to send a substitute for no additional fee. Cancellations must be received in writing. There is a $50 cancellation fee if cancellation is received on or before February 10, 2017. No refunds or credit is given for cancellations received on or after February 11, 2017. There are no refunds for “no shows.” For questions or more information regarding refunds, concerns, and program cancellation policies, please contact the IAA at (202) 293-4222.

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.

Registration Questions:
View the Registration FAQs page or contact the IAA at (202) 293-4222 or iaaevents@investmentadviser.org.

Conference Location and Hotel Information

Conference Hotel ImageHyatt Regency Washington on Capitol Hill
400 New Jersey Avenue, NW
Washington, DC 20001
Phone (202) 737-1234

Conference attendees are responsible for making their own hotel arrangements. A block of rooms has been reserved at the Hyatt Regency Washington at a special rate of $279 plus tax per night. Place a reservation by contacting a Hyatt reservation agent at (888) 421-1442 or click hotel reservations. Mention the IAA Compliance Conference to receive the special rate. The group rate is available until Wednesday, February 8, 2017 or until the room block is filled. Make a room reservation early to ensure group rate availability.

Continuing Education Credit

IACCP Credit:
The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit.

CLE Credit:
CLE accreditation is approved in Illinois, Kentucky, Missouri, Nebraska, Ohio, Pennsylvania, and Texas. The provider believes this course meets the requirement of NH Supreme Court Rule 53.

Reciprocity is granted for New York CLE as the conference is being held out-of-state. Approved New York jurisdictions include Kentucky and Ohio. Visit the New York State Bar website for additional information.

CLE accreditation is pending in California, Georgia, Virginia, and Washington.

For more information or to request that your state be included, please contact Megan Olson at megan.olson@investmentadviser.org.

NASBA CPE Credit:
CPE credit is available for this conference. Additional information is here.

Conference Sponsors and Exhibitors

This conference is sponsored by Fidelity Investments and supported by SS&C Advent.

View and learn about the Conference Exhibitors and Sponsors.

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