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2022 Investment Adviser Compliance Conference

Effective Strategies and Best Practices

The IAA’s Compliance Conference is a comprehensive, two-day, in-person program that provides investment advisers with the most current information available on the changing regulatory landscape. The program features speakers who are experts in their fields, including SEC officials, in-house legal counsel and compliance officers, partners with leading law firms, and the IAA legal team. Most sessions will be recorded and available to all registered attendees after the conference.

Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.

Continuing education credit will be available.

General Sessions

  • A Conversation with the SEC’s Investment Management Division Director
  • A Conversation with the SEC’s Exams and Enforcement Division Directors
  • Building Confidence in Your Cybersecurity Program
  • Diversity, Equity, and Inclusion in the Investment Management Industry
  • Effective Supervision of Technology
  • ESG Investing Practices, Compliance, and Disclosures
  • Ethics for Advisers: Compliance with Fiduciary Standards
  • Fireside Chat with SEC Commissioner
  • Hot Topics from Inside the Beltway
  • Preparing to Implement the New Marketing Rule
  • SEC Examination Experiences

Breakout Sessions

This year, the breakout sessions will be divided into four tracks. You are welcome to attend any session in any track: Back to Basics, Marketing Rule, Regulatory, and Trading.

Location

This year’s event will take place at the JW Marriott Washington DC. A block of rooms has been reserved at a special rate of $342 plus tax per night. More information is available online.

Interested in sponsoring or exhibiting at this event? Contact IAA Marketing & Partnerships Manager Alex Ioannidis at alex.ioannidis@investmentadviser.org for more information.

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