2016 Investment Adviser Compliance Conference
March 10-11, 2016
This comprehensive two-day program will provide you with the most current information available on the changing regulatory landscape and assist you in gaining a clearer understanding of how to maintain a successful compliance program. The distinguished roster of speakers includes SEC staff, investment adviser industry professionals, and legal experts.
View the full conference brochure.
View the conference agenda.
The General Session will cover a variety of compliance topics that address new developments, critical issues, and insights on how to sustain a successful compliance program. Topics include:
- Anti-Money Laundering Compliance
- Avoiding Pitfalls in Form ADV Reporting and Disclosure
- Capitol Hill Update
- Compliance Roundtable Breakfast
- Hot Topics for Investment Advisers
- Leveraging Technology in Compliance
- Navigating the Custody Rule
- SEC Enforcement
- SEC Examinations
In addition to the General Session, Breakout Sessions will address your special interests. Indicate your selection when you register:
Concurrent Breakout Sessions by Firm Type
- Compliance Issues for Advisers with Individual Clients
- Compliance Issues for Advisers with Institutional Clients
- Compliance Issues for Advisers to Private Equity Funds
- ERISA 101
Concurrent Breakout Sessions by Topic
- Compliance Testing
- CPO/CTA and Derivatives Regulation
- International Issues for Advisers
- Compliance with Pay to Play Rule
Attendees may view the conference materials online.
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 Sustainable DC, the District’s major planning effort to make DC the most sustainable city in the nation. All conference registrants will have access to the conference materials electronically through IAA’s website. Please indicate whether or not you would also like a hard copy of the materials. Registrants who choose “digital only” will be entered into a drawing to receive a free Samsung Galaxy tablet!
Indicate your preference when you register:
- Digital Only
- Digital and Binder
Registration for this event has closed.
|Late Registration (Register on or after February 17, 2016)
*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.
Cancellation and Substitution Policy:
If you are unable to attend, you are welcome to send a substitute for no additional fee. Cancellations must be received in writing. There will be a $50 cancellation fee assessed if cancellation is received prior to February 16, 2016. No refunds or credit for cancellations received on or after February 17, 2016. There are no refunds for “no shows.” For questions or more information regarding refund, concerns, and program cancellation policies, please contact the IAA at (202) 293-4222.
View the Registration FAQs page or contact the IAA at (202) 293-4222 or firstname.lastname@example.org.
Information regarding IAA’s Financial Hardship Policy is available here.
Conference Location and Hotel Information
Hyatt Regency Washington on Capitol Hill
400 New Jersey Avenue, NW
Washington, DC 20001
Phone (202) 737-1234
You are responsible for making your own hotel arrangements. A block of rooms has been reserved at the Hyatt Regency Washington at a special rate of $269 plus tax per night. You may place a reservation by contacting a Hyatt reservation agent at (888) 421-1442 or clicking hotel reservations. Mention that you will be attending the IAA Compliance Conference. The group rate is available until Monday, February 15, 2016, or until the room block is filled. Make your room reservation early to ensure group rate availability.
Continuing Education Credit
CLE and IACCP Credit:
The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit. CLE accreditation is pending in certain states. 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 email@example.com. Additional information will be available soon.
NASBA CPE Credit:
CPE credit is available for this conference. CPE credit hours and additional information is available here.
Conference Sponsor and Exhibitors