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2015 IAA Investment Adviser Compliance Conference Logo


The 2015 Investment Adviser Compliance Conference will be held March 5-6, 2015, in Arlington, Virginia. 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.

General Sessions

The General Sessions 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:

  • Capitol Hill Update
  • Cybersecurity
  • Compliance Issues by Client Type
  • Building a Compliance Testing Program
  • Proxy Voting Policies and Procedures
  • Adviser Issues in the European Union
  • Hot Topics in CPO/CTA and Derivatives Regulation
  • SEC Enforcement
  • The Life Cycle of a Trade
  • AML, FinCEN, and OFAC Sanction Considerations
  • SEC Examinations
  • Advertising
  • Automated Compliance Issues
  • Ethics

Breakout Sessions

In addition to the General Sessions, the Conference offers Breakout Sessions to address your special interests. Indicate your selection when you register:

Concurrent Breakout Sessions by Firm Type (No press or regulators permitted.)

Choose one of four when you register:

  • Compliance Issues for Advisers with Individual Clients
  • Compliance Issues for Advisers with Institutional Clients
  • Compliance Issues for Advisers to Private Funds
  • Compliance Issues for Dually Registered Retail Broker-Dealer/Advisers

Concurrent Breakout Sessions by Topic

Choose one of four when you register:

  • Compliance 101 – Building a Compliance Testing Program
  • Proxy Voting Policies and Procedures
  • Adviser Issues in the European Union
  • Hot Topics in CPO/CTA and Derivatives Regulation

Conference Materials

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 and/or a flash drive of the materials.

Indicate your preference when you register:

  • Digital and Flash Drive (included)
  • Digital and Binder (included)
  • Digital, Flash Drive AND Binder (add $40)

Register Today

Registration for this event has closed. We look forward to seeing you at next year's conference.

Conference Fees Non-
Regular Rate (Register on or after January 1, 2015) $1,599 $1,399 $1,199

*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.

Cancellation/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 $200 cancellation fee assessed if cancellation is received prior to February 13, 2015. No refunds or credit for cancellations received on or after February 14, 2015. There are no refunds for “no shows.”

Registration Questions:
View the Registration FAQs page or contact the IAA at (202) 293-4222 or

Financial Aid:
Information regarding IAA’s Financial Hardship Policy is available here.

Conference Location and Hotel Information

Conference Hotel ImageCrystal Gateway Marriott
1700 Jefferson Davis Highway
Arlington, VA 22202
Phone (703) 920-3230
Fax (703) 271-5212

You are responsible for making your own hotel arrangements. A block of rooms has been reserved at the Crystal Gateway Marriott at a special rate of $225 plus tax per night. Contact a hotel reservation agent at (877) 212-5752 or make an online room reservation. Mention that you will be attending the IAA Compliance Conference. Hotel reservations must be made no later than Wednesday, February 11, 2015 to get the special rate. Please make your room reservations early to ensure group rate availability.

Continuing Education Credit

CLE and IACCP Credit:
This conference is approved for NRS Investment Adviser Certified Compliance Professionals® (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 or (202) 293-4222. Additional information will be available soon.

CPE Credit:
CPE credit is available for the IAA Compliance Conference. CPE credit hours and additional information is available here.

Conference Sponsor and Exhibitors


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