Compliance Workshops

Compliance Workshops

IAA's 2020 Virtual Compliance Workshops

Thank you to everyone who attended our workshops. The 2020 event took place virtually over two half-days, December 2-3, offering an excellent opportunity to gain practical insights and up-to-date information on challenging legal and regulatory issues affecting SEC-registered investment advisers. SEC regional staff, attorneys from nationally recognized law firms, CCOs and in-house counsel, compliance consultants, and IAA legal staff explored current examination priorities and focus on pressing compliance and implementation issues for investment advisers.

As we prepare for our 2021 Compliance Workshops – where we hope to see you in person – we  will update this page accordingly.

Thanks to Our Sponsors

       

Questions?

For more information, contact IAA Director of Meetings & Events Lisa Gillette at lisa.gillette@investmentadviser.org or (202) 293-4222.