The annual IAA Investment Adviser Compliance Conference – the premier event of its kind – brings together hundreds of compliance and legal officers from member firms to hear from a distinguished roster of speakers that includes SEC staff, industry professionals and legal experts.
View for the C-Suite
View for the C-Suite – the IAA’s annual Leadership Conference for top advisory firm executives – provides a special venue to hear high-level presentations from business experts and industry thought leaders on topics that include economics, politics and business strategy.
Investor Advocacy Day
Adviser Advocacy Day, held each year in June, brings IAA members together in Washington, D.C. to meet with their elected representatives on Capitol Hill to discuss the critical legislative and public policy issues that affect investment advisers. Member participation can make a significant and positive difference for the future of SEC-registered investment advisers.
Compliance Workshops Series
Each fall, the IAA takes its IAA’s Compliance Workshop Series to eight to 10 cities around the country. Each one-day workshop offers compliance personnel the opportunity to gain practical insights on challenging legal and regulatory issues – as well as a forum to engage with their professional peers. After a regulatory update from the IAA legal staff, compliance professionals and legal experts, an SEC representative discusses current inspection priorities and other relevant issues.
Deep Dive Workshops and Conferences
As developments warrant, the IAA hosts Deep Dive Workshops and Conferences to explore critical topics in depth – such as Cybersecurity issues, Cryptocurrency issues and MiFID II implementation.
More than 125 individuals from advisory firms and other financial operations attended the IAA's MiFID II Implementation Conference in New York.
One of the most popular – and effective – ways for members to stay up-to-date on important issues is through the IAA Webinar Series. Throughout the year, the IAA hosts web presentations on legal, regulatory, compliance and business topics. Live and recorded webinars are free to members and associate members.
Professional Education and Designation Programs
The IAA also offers formal Professional Education and Designation Programs. The IAA cosponsors, with National Regulatory Services, a professional education program that grans the designation the Investment Adviser Certified Compliance Professional (IAACP) to individuals who complete an online and/or in-person instructor-led program of study, pass a certifying examination and meet its work experience, ethics and continuing education requirements. The two organizations also cosponsor a related Adviser Core Compliance Program.
Chartered Investment Counselor
And the IAA sponsors the Chartered Investment Counselor (CIC) designation. The CIC recognizes individuals who have met significant education and experience qualifications in performing investment counseling and portfolio management functions. Virtually all states recognize the CIC charter for purposes of waiving examination requirements.