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IAA’s Investment Adviser Compliance Conference 2019

Hyatt Regency Washington on Capitol Hill, Washington, District of Columbia
Mar 14 - Mar 15, 2019

Why Attend

The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts.

The conference covers a wide range of compliance issues, both in plenary sessions and in numerous breakout sessions. Video recordings of all breakout sessions are available after the conference exclusively to conference attendees. The conference is approved for NRS Investment Adviser Certified Compliance Professional® (IACCP®) continuing education credit.   It is also approved for CLE credit and for NASBA CPE credit.        

Key Topics for our 2019 Conference: 
(The full agenda is available here.)

General Sessions

Keynote Conversation with SEC Commissioner Robert J. Jackson, Jr.

Exams and Enforcement: A Conversation with SEC Co-Director of Enforcement Stephanie Avakian and OCIE Director Peter Driscoll

A Conversation with SEC Division of Investment Management Director Dalia Blass

Cybersecurity: What the FBI Wants Advisers to Know

Combating Common Cybersecurity Threats/Data Privacy Developments

SEC Exams

Regulatory Update on SEC Rulemakings

Fiduciary Forum: The Latest Update on All Things Fiduciary

Ethics for Advisers

Breakout Sessions 

Compliance 101: Tips for Getting Started in Compliance

Annual Reviews and the Client Servicing Side of Compliance

ESG Investment Process Compliance

GIPS 2020: Preparing for the Impact on Advisers’ 
Marketing Activities

Considerations for Senior Clients

FinTech/Use of Big Data

Tackling Trading

Playing by the Rules: Pay-to-Play, Lobbying and Gifts

Hedge Funds Hot Topics

Private Equity Funds Perspectives

Registered Funds Roundup 


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