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IAA 2022 Compliance Workshops

Agenda

Virtual

1:00–4:45 p.m. ET (12:00 – 3:45 p.m. CT; 11:00 a.m. – 2:45 p.m. MT; 10:00 a.m. – 1:45 p.m. PT)

1:00 – 2:00 p.m. Welcome Remarks and Regulatory Update

Current SEC Inspection Priorities and Compliance Issues

  • Marshall Gandy, SEC Co-National Associate Director, IA-IC Examinations (Division of Examinations)
2:00 – 3:00 p.m. Marketing Rule Overview

  • Jennifer L. Klass, Partner, Baker McKenzie
  • Julia Reyes, CIPM, Partner, ACA Group
  • Sanjay Lamba, Associate General Counsel, IAA
  • Laura Grossman, Associate General Counsel, IAA
3:00 – 3:15 p.m. Break
3:15 – 4:15 p.m. Marketing Rule Deep Dive
4:15 – 4:45 p.m. Ask Us Anything about the Marketing Rule: Q&A

In-Person

9:30 a.m. – 1:30 p.m. local time

9:30 – 10:30 a.m. Welcome Remarks and Regulatory Update

Current SEC Inspection Priorities and Compliance Issues

  • Boston: Kevin Kelcourse, SEC Associate Regional Director (Examinations)
  • Chicago: Louis A. Gracia, SEC Associate Regional Director (Examinations)
10:30 – 11:30 a.m. Marketing Rule Overview

Boston:

  • Michael W. McGrath, Partner, K&L Gates
  • Julia Reyes, CIPM, Partner, ACA Group
  • Sanjay Lamba, Associate General Counsel, IAA
  • Dianne M. Descoteaux, Associate General Counsel, IAA

Chicago:

  • Shivani Choudhary, CFA, CIPM, Managing Director, ACA Group
  • Michael B. Koffler, Partner, Eversheds Sutherland (US) LLP
  • Monique Botkin, Associate General Counsel, IAA
  • Sarah Buescher, Special Counsel, IAA
11:30 a.m. – 12:30 p.m. Networking Lunch
12:30 – 1:30 p.m. Marketing Rule Breakouts/Case Studies (Walk through issue-spotting exercises to practice analyzing marketing pieces.)
1:45 – 2:45 p.m. Smaller Advisers Meeting

Agenda

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COVID-19 Information

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Continuing Education

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Compliance Workshops Homepage

Contact

Lisa Gillette
lisa.gillette@investmentadviser.org or (202) 293-4222.

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