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
