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Successful IAA Compliance Conference Sees Spirited Discussions, Record Attendance

March 14, 2024

More than 600 investment advisory industry professionals convened in Washington, D.C., for the 2024 IAA Investment Adviser Compliance Conference. Across two days, attendees got up to speed on critical industry topics and collaborated with their peers from across the country.

William Birdthistle speaks at the 2024 IAA Compliance Conference.

The day before his departure from the Commission, William Birdthistle, former director of the SEC Division of Investment Management, joined us to reflect on his time at the SEC and applaud the IAA for its thoughtful engagement throughout his tenure. He noted that one of the most inspiring things about working for the division was the dedication, thoughtfulness, and knowledge of the civil servants of the SEC, as well as the robustness and sophistication of its processes. Natasha Vij Greiner has now replaced Birdthistle as director of the Division of Investment Management.

Following Birdthistle, senior SEC officials from the Divisions of Examinations and Enforcement spoke to attendees about the current exam priorities and how the two divisions work together. Greiner, who was deputy director and national associate director of the Investment Adviser/Investment Company Examination Program in the SEC Division of Examinations at the time of her presentation, noted that the SEC is “trying to keep up to speed with the growing investment advisory community.” She also encouraged registrants to engage with examination teams to clear up potential miscommunications and ensure an easier exam process.

On the enforcement side, Corey Schuster, co-chief of the SEC Division of Enforcement’s Asset Management Unit, suggested that advisers review enforcement cases as they come out and encouraged firms’ self-reporting, cooperation, and remediation of off-channel communications compliance deficiencies.

On Friday morning, SEC Chair Gary Gensler addressed the conference. Of note, he discussed how the SEC considers implementation timelines, small business concerns, and, in particular, the goals of the Predictive Data Analytics proposed rule as it relates to AI and conflicts.

Other sessions included important insights from experts in the realms of diversity, ESG, artificial intelligence, legislation, off-channel communications and recordkeeping, and more. Stay tuned in the coming weeks for deep dives into several of these topics, featuring key takeaways from conference speakers.

The IAA would like to thank our partners, sponsors, and exhibitors, as well as the 2024 Conference Planning Committee, who each contributed to make this event a success. Save the date for the 2025 Compliance Conference: March 5-7 in Washington, D.C.

SEC Chair Gary Gensler and IAA CEO Karen Barr speak at the Compliance Conference.

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