Skip to main content

IAA 2022 Compliance Workshops

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 both virtually and in-person.

Virtual             October 6

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.

“The IAA’s 2022 Compliance Workshop was extremely informative, well-organized, and well-developed. The speakers were able to provide additional context and insight into the SEC’s new marketing rule, which has been invaluable as our firm completes the implementation of its changes in anticipation of the forthcoming compliance date.” – Senior Compliance Administrator, $47B AUM

“The IAA puts thought into its content and this year’s virtual Compliance Workshop exceeded my expectations. The focus on the new SEC Marketing Rule with the addition of “Issue Spotting Exercises” was wonderful. I was able to ask my questions of the speakers and then used the information presented in practice through the exercises. I feel better prepared to adopt my policies based on what was presented.” – Chief Compliance Officer, $4B AUM

“The Boston Compliance workshop was excellent. Honestly, I thought I was well prepared for the marketing rule, but the session opened my eyes to a couple of essential aspects of the rule. Thanks to the compliance workshop, I can address these issues before November 4th. Well worth my attendance.” – Principal, Chief Compliance Officer, and Chief Operating Officer, $2B AUM

Thank You to Our Partners & Sponsors

Interested in sponsoring this event? Contact IAA Marketing & Partnerships Manager Alex Ioannidis at for more information.

You are now leaving Investment Adviser Association

The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.

You will be redirected to

Click the link above to continue or CANCEL