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2024 IAA Compliance Workshops – Cyber/Data Privacy, AI, Marketing

December 10, 2024


The IAA extends a special thank you to the approximately 300 participants in this fall’s Compliance Workshops, held both virtually and in cities across the U.S.

Now in their 28th year, the Compliance Workshops were devoted to providing investment advisers with practical tips to help them implement the SEC’s final data privacy rules governing the protection of clients’ non-public personal information (Regulation S-P), hot cybersecurity issues, including potential new cybersecurity rules for investment advisers, complex regulatory and risk concerns arising from the rapidly evolving use of artificial intelligence (AI) technology in connection with providing asset management services, and challenges advisers are facing under the Marketing Rule, including presentation of performance.

We were joined by speakers from IAA strategic partner ACA Group, IAA Associate Member law firms, and senior SEC examinations officials at each workshop who discussed current SEC examination priorities and compliance issues for advisers.

Attendees had the opportunity to participate in a peer-to-peer discussion of key priorities, compliance challenges, and initiatives to close out the day.

Takeaways from the virtual workshop are available here.

The IAA greatly appreciates the contributions of the record number of presenters who helped make our workshops a success:

  • Jeremy Bergsman, Managing Director, ACA Group
  • Gail Bernstein, General Counsel and Head of Public Policy, Investment Adviser Association
  • Peter Bogdasarian, Partner, Stradley Ronon Stevens and Young, LLP
  • Sarah Buescher, Special Counsel, Investment Adviser Association
  • Charu Chandrasekhar, Partner, Debevoise & Plimpton LLP
  • Ezra Church, Partner, Morgan, Lewis & Bockius LLP
  • Carlo di Florio, President, ACA Group
  • Austin Fiala, Senior Principal Consultant, ACA Group
  • Aaron Gilbride, Partner, Latham & Watkins LLP
  • Louis Gracia, Associate Regional Director, Division of Examinations, SEC Chicago Regional Office
  • Issa Hanna, Partner, Eversheds Sutherland (US) LLP
  • Vanessa Horton, Co-National Associate Director, SEC Investment Adviser/Investment Company Examination Program, and Associate Regional Director, SEC Chicago Regional Office
  • Kelley Howes, Partner, Morrison & Foerster LLP
  • Todd Humphrey, Managing Director, ACA Group
  • Casey Jennings, Partner, Seward & Kissel LLP
  • Maurya Keating, Associate Regional Director, Investment Adviser/Investment Company Examination Program, SEC New York Regional Office
  • Kevin Kelcourse, Associate Regional Director, Division of Examinations, SEC Boston Regional Office
  • Clifford Kirsch, Partner, Eversheds Sutherland (US) LLP
  • Michael Koffler, Partner, Eversheds Sutherland (US) LLP
  • Sanjay Lamba, Associate General Counsel, Investment Adviser Association
  • Kristy Littman, Partner, Willkie Farr & Gallagher LLP
  • Pablo Man, Partner, K&L Gates LLP
  • Michael McGrath, CFA, Partner, Dechert LLP
  • Ed McNicholas, Partner, Ropes & Gray LLP
  • Damian Mencini, Senior Cyber Advisor, Morrison & Foerster LLP
  • Colleen Meyer, Counsel, Ropes & Gray LLP
  • A. Valerie Mirko, Partner, Armstrong Teasdale LLP
  • Joseph Morrissey, Partner, Seward & Kissel LLP
  • Brian Murphy, Partner, Stradley Ronon Stevens and Young, LLP
  • William Nelson, Director of Public Policy and Associate General Counsel, Investment Adviser Association
  • Mike Pappacena, Partner, ACA Group
  • Thomas Piccone, Associate Regional Director, Division of Examinations, SEC Denver Regional Office
  • Aaron Pinnick, Senior Manager, Research, ACA Group
  • Marc Ponchione, Partner, Debevoise & Plimpton LLP
  • Kerry Rider, Managing Director, ACA Group
  • Elena Ro, Associate Regional Director, Division of Examinations, SEC San Francisco Regional Office
  • Aaron Russ, Associate, Morrison & Foerster LLP
  • Christine Ayako Schleppegrell, Partner, Morgan, Lewis & Bockius LLP
  • Pat Shea, Partner, ACA Group
  • Matt Shepherd, Director, ACA Group
  • Kristin Snyder, Partner, Debevoise & Plimpton LLP
  • Tracy Soehle, Associate General Counsel, Investment Adviser Association
  • Steve Stone, Partner, Morgan, Lewis & Bockius LLP
  • Christine Tetherly-Lewis, Managing Director, ACA Group
  • Jamie Lynn Walter, Partner, Latham & Watkins LLP

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