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2022 Investment Adviser Compliance Conference

Code of Conduct Policy

The Investment Adviser Association seeks to provide a welcoming, respectful, and productive experience for its in-person and virtual conference participants, regardless of gender, sexual orientation, disability, ethnicity, or religion. By registering for this conference, you agree to conduct yourself in a professional manner as outlined below.

Expected Behavior

  • Be considerate, respectful, and collaborative.
  • Refrain from demeaning, discriminatory, or harassing speech and behavior.

Unacceptable Behavior

Unacceptable behaviors include intimidating, harassing, abusive, discriminatory, derogatory, or demeaning remarks or behavior. Harassment includes offensive verbal comments related to gender, sexual orientation, race, religion, disability; inappropriate use of sexual images in public spaces; deliberate intimidation, stalking, or following; harassing photography or recording; sustained disruption of presentations or other events; inappropriate physical contact, and unwelcome sexual attention.

This policy extends to conference-related virtual social events and in conference-related online communities and social media.

Consequences of Unacceptable Behavior

Unacceptable behavior will not be tolerated. Participants asked to stop such behavior are expected to comply immediately.

Participants in violation of the Code of Conduct may be expelled from the conference without a refund, and/or banned from future IAA events, at the sole discretion of the IAA.

Please bring any concerns to the immediate attention of the event staff, or contact Lisa Gillette, Director of Meetings and Events, at lisa.gillette@investmentadviser.org.

Prohibition on Use of Video, Audio, or Other Content

Any use of any portion of the Investment Adviser Association’s 2022 Compliance Conference, including the use of any audio or video portion of the event, is strictly prohibited without the express written consent of the IAA. This includes, but is not limited to, any reproduction, rebroadcast, retransmission, or distribution of the event in any manner or form. In addition, no person may copy, recompile, or create derivative works of any portion of the Compliance Conference, and no portion of the conference shall be used by any party, directly or indirectly, for any commercial use or benefit without express written consent of the IAA.

For further information, contact Lisa Gillette, Director of Meetings and Events, at lisa.gillette@investmentadviser.org. 

Event Policies

Medical Release

Registration and attendance at, or participation in IAA live events constitutes an agreement by the registrant that they are participating in the conference on their own free will. While the IAA does its best to provide the safest possible environment for events, the registrant acknowledges freely and knowingly that as a result of their registration and participation, they assume responsibility for their own well-being and safety, releasing the IAA of any harm. 

Consent to the Use of Registrant’s Image or Voice

Registration and attendance at, or participation in IAA live or virtual events constitutes an agreement by the registrant that the IAA may use and distribute the registrant’s image or voice in photographs, videotapes, electronic reproductions, and audiotapes, both now and in the future.

Consent to the Use of Registrant’s Information

I understand that by participating in this IAA event, I consent to sharing my name, title, and firm name with this event’s sponsors and exhibitors (“partners”), speakers, and attendees.

Privacy of Data Related to Conferences and Events

On occasion, the IAA provides name, title, firm and mailing address information of conference or event attendees to entities that co-sponsor conferences or other events with the IAA so that attendees or prospective attendees can be provided with information about those events. On occasion, the IAA provides name, title, firm and mailing address information of conference or event attendees to actual and potential exhibitors of its conferences or other events. The IAA also typically includes such information for attendees, exhibitors, and speakers in its conference or event materials.

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