Interactive sessions. Practical Insights. Peer-to-peer networking.
You’ve worked hard in anticipation of the Marketing Rule’s November 4th compliance date. Now, test if your firm is ready. The new Investment Adviser Marketing Rule will be the focus of the IAA’s fall Compliance Workshops, now in their 26th year.
This year’s workshops are totally devoted to helping investment advisers implement the new Marketing Rule. We’ll also be joined by a senior SEC examinations official who will discuss current SEC inspection priorities and compliance issues.
For your convenience, we are offering the compliance workshop virtually on October 6. If you prefer to attend in-person, you may register for one of the following cities:
New York October 12
Boston October 13
Chicago November 17
At our in-person workshops, we’ll break out into small groups and walk through issue-spotting exercises to practice analyzing marketing pieces.
Who Should Come
Participants include in-house and third-party compliance and legal professionals, including chief compliance officers, in-house counsel, compliance specialists, and senior staff.