Skip to main content

IAA Today

Category: Compliance Workshops

2019 Los Angeles

Los Angeles Workshop Speakers Katharine Zoladz is an Associate Regional Director who co-spervises the Enforcement program for the Los Angeles office of the Secrities and Exchange Commission.  She joined the...

October 21, 2019

Read More

2019 San Francisco

Register Now   Contact Lisa Gillette (202) 293-4222 lisa.gillette@investmentadviser.org Download to Yor Calendar Compliance Workshops Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston 

October 10, 2019

Read More

2019 Atlanta

Register Now   Contact Lisa Gillette (202) 293-4222 lisa.gillette@investmentadviser.org Download to Yor Calendar Compliance Workshops Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston 

October 10, 2019

Read More

2019 Boston

Register Now   Contact Lisa Gillette (202) 293-4222 lisa.gillette@investmentadviser.org Download to Yor Calendar Compliance Workshops Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston 

October 10, 2019

Read More

2019 Chicago

Register Now   Contact Lisa Gillette (202) 293-4222 lisa.gillette@investmentadviser.org Download to Yor Calendar Compliance Workshops Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston 

October 10, 2019

Read More

2019 New York

Register Now   Contact Lisa Gillette(202) 293-4222 lisa.gillette@investmentadviser.org Download to Yor Calendar Compliance Workshops Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston 

October 10, 2019

Read More

2019 DC Compliance Workshop Speakers

Register Now   Contact Lisa Gillette (202) 293-4222 lisa.gillette@investmentadviser.org Download to Yor Calendar Compliance Workshops Washington, DC Philadelphia New York Hoston Atlanta Los Angeles San Francisco Chicago Boston 

October 10, 2019

Read More

2019 Conference Materials

19_CWMaterials.pdf 2019 Compliance Workshops Conference Materials Thank yo for participating in the IAA’s Compliance Workshop Series. Workshop materials will be provided electronically only. They are available here as one PDF, or...

October 07, 2019

Read More

2019 Houston

Hoston Workshop Speakers Michael Gnst is Assistant Director at the SEC’s Dallas/Fort Worth Regional Office, where he focses on Investment Adviser/Investment Company examinations. Mr. Gnst joined the Commission in 2003 in...

August 26, 2019

Read More

1 2

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL