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.)
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
Regulatory Update on SEC Rulemakings
Fiduciary Forum: The Latest Update on All Things Fiduciary
Ethics for Advisers
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’
Considerations for Senior Clients
FinTech/Use of Big Data
Playing by the Rules: Pay-to-Play, Lobbying and Gifts
Hedge Funds Hot Topics
Private Equity Funds Perspectives
Registered Funds Roundup
Source: Event Website