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2014 IAA Investment Adviser Compliance Conference Logo


2014 Compliance Workshop – Los Angeles

The IAA Fall Compliance Workshops are an excellent opportunity to gain practical insights on challenging legal and regulatory issues facing SEC-registered investment advisers, and to network with compliance and legal professionals at other IAA member firms.


Thursday, December 4
9:15 a.m. - 2:00 p.m.


Omni Los Angeles Hotel at California Plaza
251 S. Olive Street
Los Angeles, CA 90012
(213) 617-3300

Program Details

This Compliance Workshop will address important topics for SEC-registered investment advisers, including: a Regulatory Update, Cybersecurity, Advertising and Social Media, Internal Controls/Annual Reviews, and SEC Exams. Speakers will include IAA legal staff and attorneys from nationally recognized law firms. The workshop will include a networking luncheon where attendees can share ideas about other compliance issues. After lunch, a SEC staff member from the region’s Office of Compliance Inspections and Examinations will discuss current inspection priorities and issues for advisers.


Registration for this event has closed.

Registration Fees IAA Member Rate* IAA Associate Member
Rate *
Non-Member Rate
Late Registration Rate
(register on or after 11/27)
$395 $495 $595

* Employees of firms that are current members of the Investment Adviser Association (at the time of registration and on the day of the meeting) are eligible to receive the member firm rate.

Cancellation Policy: If you find it necessary to cancel your workshop registration, IAA will refund your registration fee (less $50 administration fee) if you inform us on or before November 26, 2014. No refunds will be made after that point. There will be no refund for “no shows”. Notice of cancellation must be received in writing at Substitutions may be made at any time at no additional fee. Please let us know if you have any questions regarding the administrative policies, or complaints, by contacting the IAA office at (202) 293-4222.

Continuing Education Credits

CLE and IACCP Credit:
The workshops are approved for NRS Investment Adviser Certified Compliance Professionals® (IACCP®) continuing education credit. CLE accreditation is approved in CA, GA, IL, NY, PA, and TX. 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 Additional information will be available soon.

CPE credit is available for the IAA Compliance Workshops. CPE credit hours and additional information is available here.


2014 IAA Compliance Workshop Sponsor
2014 IAA Compliance Workshop Sponsor Logo

Financial Tracking Technologies, LLC has compliance covered. Financial Tracking Technologies, LLC markets the only all-in-one compliance platform for public companies and the global investments industry. They are the leader in automated compliance solutions that enable regulatory protection and operating cost cutting. Clients include regulators, broker-dealers, mutual funds, money managers, hedge funds and public companies. FTT has earned the trust and commitment from some of the world's most renowned, top tier clients who have found FTT's patented compliance multi-tools to exceed the performance of competitors. Their responsiveness and client support are unmatched and the staff is equally as committed to service excellence. Risk and compliance multi-tools also offered a la carte. Visit


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