2023 New York Compliance Workshop

When:  Nov 8, 2023

Interactive sessions. Practical insights. Peer-to-peer networking. The 2023 IAA Compliance Workshops will be offered both virtually and in-person. Join us for:

  • Preparing for a Regulatory Deluge: Receive practical tips and up-to-date information to help you prepare for the upcoming regulatory changes.
  • New and Notable Focus Areas in SEC Examinations: Learn what to do to prepare for new focus areas of SEC examinations, to include Risk Alerts, off-channel communications, and more.
  • …and a discussion about current SEC inspection priorities and compliance issues with senior officials from the SEC.

At each in-person Compliance Workshop, attendees will also have the opportunity to participate in a peer-to-peer discussion to close out the day.