Compliance Workshops

Compliance Workshops

IAA's 2021 Virtual Compliance Workshops

Two issues that are top of mind for compliance officers – the new Investment Adviser Marketing Rule and ESG compliance – are the focus of the IAA’s fall Compliance Workshops, now in their 25th year. The workshops will take place virtually over two days, November 4 and November 18. 

Two general sessions and one breakout are devoted to the Marketing Rule, which our recent Investment Management Compliance Testing Survey showed is the number one concern of compliance personnel. General sessions include Implementing Effective Policies and Procedures to Comply with the New Marketing Rule and Presentation of Performance Under the New Marketing Rule. And in breakout sessions – one for smaller firms, one for larger firms – experts will answer your questions about getting prepared for the Marketing Rule, which goes into effect in November 2022.

The workshops will also offer general sessions on building an ESG compliance program –Portfolio Management and Proxy Voting Issues and Disclosure and Client Communication Issues.

Continuing education credit (CLE, NASBA CPE, CFP, and IAACP) is available. A full agenda is available online.

Sponsorship Opportunities

Sponsorship opportunities are available. For information, contact IAA Marketing & Partnerships Manager Alex Ioannidis at (202) 293-4222 or


For more information, contact IAA Director of Meetings & Events Lisa Gillette at (202) 293-4222 or