Interactive sessions. Practical insights. Peer-to-peer networking.
Celebrating 30 Years of Compliance Guidance
For three decades, the IAA Compliance Workshops have been a must-attend Fall meeting for investment adviser compliance professionals seeking practical guidance, timely regulatory insights, and meaningful peer connections. Join local colleagues for a focused half-day program featuring expert perspectives on today’s most pressing compliance issues.
Sessions include:
A discussion about current SEC examination priorities and compliance issues with senior officials from the SEC.
Navigating SEC Examinations: Hear from investment adviser compliance professionals and counsel as they discuss current examination trends and practical lessons learned. Panelists will share strategies for maintaining exam readiness, managing the exam process, and responding effectively to SEC requests, with a focus on staff priorities such as conflicts of interest, fees and expenses, use of and governance of artificial intelligence, third-party service provider oversight, and other emerging examination priorities.
Cybersecurity, Data Privacy, and AI: Hear practical compliance strategies and emerging best practices for addressing evolving cybersecurity risks and lessons learned implementing the SEC’s amended Regulation S-P data privacy requirements, including impacts of the use of artificial intelligence. Panelists will discuss incident response planning, customer notification obligations, service provider oversight, data breach preparedness, and related AI governance and oversight, as well as compliance considerations to prioritize to strengthen cybersecurity and data privacy programs.
In addition, in-person attendees will have the opportunity to participate in a peer-to-peer discussion to close out the day.
For your convenience, we are offering the compliance workshop both virtually and in-person.
- Virtual October 6
- Chicago October 8
- New York October 14
- Boston October 15
Who Should Attend?
The IAA Compliance Workshops are designed for investment adviser compliance and legal professionals. Typical attendees include:
- Chief Compliance Officers
- In-House Legal Counsel
- Compliance Specialists
- Compliance Managers and Directors
- Compliance Staff
- And other Legal and Regulatory Professionals
