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2022 Investment Adviser Compliance Conference

Agenda

Wednesday, March 2

(All times are Eastern)

Time Description
6:00 – 9:00pm Early Registration
Beat the morning rush! Pick up your badge tonight.
6:00 – 8:00pm Welcome Reception

Thursday, March 3

Time Description
7:00am – 5:00pm Conference Registration/Exhibit Hall
7:00 – 9:00am Continental Breakfast with Exhibitors
Find your old friends, make new ones, and get to know the exhibitors!
8:00 – 9:00am Ethics for Advisers: Compliance with Fiduciary Standards – Part 1
This session is approved for one hour of IACCP® continuing education ethics credit.
An adviser’s code of ethics reflects its fiduciary obligation to its clients. Discuss codes of ethics, related policy issues and scenarios, and best practices for monitoring, testing, administering, and enforcing these policies.
9:05 – 9:15am Welcome Remarks
9:15 – 9:45am GENERAL SESSION: Fireside Chat with SEC Commissioner
9:45 – 10:00am Networking Break
10:00 – 10:30am GENERAL SESSION: Investment Management: A Conversation with SEC Division Director, with Gail Bernstein, IAA General Counsel
10:35 – 11:25am GENERAL SESSION: Preparing to Implement the New Marketing Rule
With the compliance date of the SEC’s new Investment Adviser Marketing Rule mere months away, this panel will provide an overview of what to expect and help get your firm ready to transition to the new way of marketing and promoting services to investors.
11:25 – 11:55am Networking Break
11:55am – 12:45pm Concurrent Compliance Breakout Sessions
Choose one of four sessions to attend. Video recordings of these breakout sessions will be available online to conference attendees shortly after the conference.

Marketing Rule Track
: Solicitation under the Marketing Rule: A deep dive into using – for the first time – paid or unpaid testimonials and endorsements.

Trading Track
: Trading Issues: Handling the duty to seek best execution, review of firm trades, soft dollars, trade aggregation and allocation, and principal and cross trading.

Back to Basics Track
: What it Means to Have a Fiduciary Duty: Putting into practice the bedrock principle at the core of the investment adviser-client relationship, including managing and making full and fair disclosure of conflicts of interest, and complying with the duty of care obligation under the SEC’s Fiduciary Interpretation.

Regulatory Track
: Private Equity Funds: Key regulatory issues for private equity fund managers related to SEC exams and regulation, including allocation and reporting of fees and expenses, conflicts of interest and disclosure, valuation, and ESG.
12:45 – 2:00pm Lunch: Diversity, Equity, and Inclusion in the Investment Management Industry
Hear firsthand adviser success stories and gain insight to make practical, step-by-step progress to foster diversity, equity, and inclusion at your firm.
2:00 – 2:50pm Concurrent Compliance Breakout Sessions
Choose one of four sessions to attend. Video recordings of these breakout sessions will be available online to conference attendees shortly after the conference.

Marketing Rule Track
: Presentation of Performance under the Marketing Rule: Prepare to calculate and present performance in marketing materials, provide 1-, 5-, and 10-year results, calculate and present gross and net returns, and understand the methodology around related, extracted, and hypothetical performance, recordkeeping, portability of predecessor performance, and the interplay between the GIPS standards and the new Marketing Rule.

Trading Track
: Wrap Fee Programs: Learn about best practices in wrap fee program compliance, including around full and fair disclosure, best execution, trading, monitoring accounts, conflicts of interest, fees and expenses.

Back to Basics Track
: Annual Reviews: How the process of assessing the adequacy of policies and procedures and the effectiveness of their implementation has evolved since the Compliance Program Rule was first introduced.

Regulatory Track
: DOL Developments: Address challenges that investment advice fiduciaries are facing in complying with the DOL Fiduciary Exemption, and learn the latest on the ERISA Investment Duties rule, which addresses ESG investing and proxy voting.
2:55 – 3:45pm GENERAL SESSION: Examination Experiences
Insights from those who have recently undergone SEC exams: exam trends in the COVID environment, common deficiencies, recent focus areas, and what to expect when it’s your turn for an examination.
3:45 – 4:10pm Networking Break
4:10 – 5:00pm GENERAL SESSION: Building Confidence in Your Cybersecurity Program
How to put into practice lessons learned from recent Division of Examinations Risk Alerts and Division of Enforcement cases. How to proactively improve cyber hygiene and risk governance through operational resiliency to protect your firm against ransomware, account takeovers, and credential compromise.
5:00 – 6:30pm Reception

Friday, March 4

Time Description
7:00am – 3:00pm Conference Registration/Exhibit Hall
7:00 – 9:00am Continental Breakfast with Exhibitors
8:00 – 9:00am Ethics for Advisers: Compliance with Fiduciary Standards – Part 2
This session is approved for one hour of IACCP® continuing education ethics credit. An adviser’s code of ethics reflects its fiduciary obligation to its clients. This panel will discuss the protection of material nonpublic information (MNPI) and prevention of insider trading, whistleblower policy issues and scenarios, and best practices for monitoring, testing, administering, and enforcing these policies.
8:00 – 9:00am Service Provider Solutions
Choose one of four sessions offered by our conference sponsors to attend. Video recordings of these breakout sessions will be available online to conference attendees shortly after the conference.
9:00 – 9:15am Networking Break
9:15 – 10:05am GENERAL SESSION: Exams & Enforcement: A Conversation with SEC Division Directors, with Gail Bernstein, IAA General Counsel
10:10 – 11:00am GENERAL SESSION: ESG Investing Practices, Compliance Programs, and Disclosures
Investor demand for investment products and financial services that incorporate ESG factors is continuing to intensify. Get up to speed on investing practices and disclosures and developments at the SEC and other regulators on ESG.
11:00 – 11:20am Networking Break
11:20am – 12:10pm Concurrent Compliance Breakout Sessions

Choose one of four sessions to attend. Video recordings of these breakout sessions will be available online to conference attendees shortly after the conference.

Marketing Rule Track
: Impact of the Marketing Rule on Private Equity and Private Credit: Issues under the new Marketing Rule that are unique to the private equity and private credit space.

Trading Track
: Digital Assets: Compliance issues concerning this increasingly popular and continually evolving asset class, including safekeeping/custody, disclosing risks, ownership, transfers, calculating RAUM, recordkeeping, and settlement.

Back to Basics Track
: Data Privacy Overview: Managing compliance with multiple state and global data privacy laws, Regulation S-P, the SEC’s Identity Theft Red Flags Rule, and key data privacy developments.

Regulatory Track
: BCPs and Remote Supervision: Changes to BCPs and remote supervision of employees and third-party service providers as a result of the pandemic, including best practices for the new normal of remote and hybrid work arrangements, virtual meetings, and electronic communications.

12:10 – 1:35pm Lunch
Hot Topics from Inside the Beltway
Gain insights into the latest regulatory and legislative landscape affecting investment advisers, and the IAA’s current policy priorities.
1:35 – 2:05pm Dessert with the Exhibitors
2:05 – 2:55pm GENERAL SESSION: Effective Supervision of Technology
As the use of technology in the investment process continues to surge, compliance officers need tools to oversee, monitor, and test compliance in an ever-growing number of areas. How can you make sure that technology is doing what it’s supposed to do? How – and how often – should you be monitoring service providers’ use of technology? What regulatory expectations are compliance personnel responsible for meeting?
2:55 – 3:00pm Closing Remarks and Conference Adjournment

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