Compliance Workshops

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2019 Compliance Workshops

The IAA’s Compliance Workshops, offered in cities across the country each fall, offer an excellent opportunity to gain practical insights and up-to-date information on challenging legal and regulatory issues affecting SEC-registered investment advisers – as well as a forum for compliance professionals to engage with their peers. These one-day sessions provide need-to-know information on current hot topics, including a comprehensive regulatory update.

At each of the IAA’s 2019 Compliance Workshops, SEC Regional staff, attorneys from nationally recognized law firms, CCOs, ACA compliance consultants, and IAA legal staff will explore current examination priorities, and focus in depth on three key topics for investment advisers. Each workshop will run from 9:00 a.m. to 2:00 p.m. and will include a networking luncheon for attendees to get to know one another and share compliance strategies

2019 Compliance Workshop Schedule

In 2019, the IAA will host nine Compliance Workshops. Click on the date and location for detailed information about that city’s workshop and online registration for that workshop. Details about the speakers for each workshop are available in the navigation bar on the right side of this page.

Washington, DC October 2
Philadelphia *NEW* October 3
New York October 10
Houston October 29
Atlanta October 30
Los Angeles November 5
San Francisco November 7
Chicago November 14
Boston November 19

Registration for 2019 Workshops

Please click on the date/location of the workshop you wish to attend to register for that workshop. Employees of firms that are current members of the Investment Adviser Association are eligible to receive the discounted member rate.

Optional Smaller Advisers Meetings from 2:15 to 3:45 p.m.
Following each Compliance Workshop, the IAA will host a complimentary meeting for members of the IAA Smaller Advisers Compliance Forum and other smaller member firms, providing an opportunity to meet in person to discuss shared compliance issues and network with fellow IAA members. The meeting will take place right after, and in the same location as, each Compliance Workshop. Registration for the Compliance Workshop is not required in order to attend the Smaller Advisers Meeting, although each event requires a separate registration. To learn more or to join your local session, please contact IAA Director of Meetings and Events Lisa Gillette (lisa.gillette@investmentadviser.org). 

2019 Compliance Workshop Agenda

SEC Regional Staff Speaker
Hear SEC staff from your city’s Regional Office discuss current examination priorities for advisers.

Brief Regulatory Update
IAA attorneys will provide the latest updates on SEC and other key regulatory developments from Washington, DC, including takeaways from the SEC’s Investment Adviser Standard of Conduct Interpretation.

Form CRS for Advisers to Retail Investors: Compliance and Best Practices
Learn about implementation issues and get tips on preparing your Form CRS for retail investors by July 2020. The panel will discuss (a) required content and format of disclosures on the adviser’s standard of conduct, services offered, fees, costs, conflicts of interest, and more; (b) delivery, filing, and updating requirements; and (c) compliance policies and procedures for preparing the Form CRS. 

SEC Exams: The SEC Process and Your Preparation
Learn how OCIE selects and examines investment advisers, uses data and analytics, and determines the scope of what to examine at a firm. The panel will discuss best practices in preparing in advance for an exam, including necessary documentation and ways to engage your teams, as well as steps to consider during the exam process itself. 

Managing Data Privacy Compliance
This panel will provide key updates and best practices on ongoing data privacy protection issues, including a discussion of the SEC’s Reg S-P and Identity Theft Red Flags Rule, EU GDPR implementation issues, the impact of the California Consumer Privacy Act of 2018, and other relevant state law developments. Hear how firms are complying with an avalanche of regulations in this area and its relation to cybersecurity.

Participants

Participants include in-house and third party compliance and legal professionals, including Chief Compliance Officers, In-House Counsel, Compliance Specialists and Senior Staff.

Continuing Education Credits

The workshops are approved for CLE, CPE and IACCP continuing education credit.

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

Optional Smaller Advisers Meetings from 2:15 to 3:45 p.m.
Following each Compliance Workshop, the IAA will host a complimentary meeting for members of the IAA Smaller Advisers Compliance Forum and other smaller member firms, providing an opportunity to meet in person to discuss shared compliance issues and network with fellow IAA members. The meeting will take place right after, and in the same location as, each Compliance Workshop. Registration for the Compliance Workshop is not required in order to attend the Smaller Advisers Meeting, although each event requires a separate registration. To learn more or to join your local session, please contact IAA Director of Meetings and Events Lisa Gillette (lisa.gillette@investmentadviser.org). 


Thanks to Our 2019 Workshops Sponsor


ACA Compliance Group (ACA) is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, ACA clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA services and develops its products with a team comprised of former SEC, FINRA, FSA, NYSE, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. www.acacompliancegroup.com