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CCO/Compliance Officer Forum

The CCO/Compliance Officer Forum will provide an opportunity for IAA-member compliance professionals to network and discuss best practices and challenges on topics including compliance program implementation, establishing and maintaining a good compliance culture, outsourcing, consolidation, shared services agreements, preparing for and navigating an exam, and more. While IAA staff will convene and facilitate the Forum, it will be member-driven, including as to agenda items. Please note that specific subject matter discussions will continue to be held in the IAA’s separate committees and working groups.

Meeting Frequency: Quarterly conference calls and as-needed for specific topics

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IAA Staff Liaison

William Nelson
Associate General Counsel

We encourage all members to participate in our Committees, Working Groups, and Forums.

To join the Government Relations Committee or its online community on the IAA Exchange, please contact iaaservices@investmentadviser.org or call (202) 293-4222.

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