Interactive sessions. Practical insights. Peer-to-peer networking.
Sessions include:
A discussion about current SEC examination priorities and compliance issues with senior officials from the SEC.
Cybersecurity & Data Privacy: Practical tips to help you implement the SEC’s final data privacy rules governing the protection of clients’ non-public personal information (Regulation S-P). Plus the latest on potential new cybersecurity rules for investment advisers.
Artificial Intelligence: Get a compliance handle on complex regulatory and risk concerns arising from the rapidly evolving use of artificial intelligence (AI) technology in connection with providing asset management services.
Marketing Rule: Nearly two years after the compliance date of the new Marketing Rule, advisers are still grappling with presentation of performance issues including composites, model fees, and predecessor performance, as well as substantiation requirements. Learn the latest insights and trends.
For your convenience, we are offering the Compliance Workshop both virtually and in-person.
- Virtual: Thursday, September 12
- Denver: Wednesday, October 2
- Dallas: Wednesday, October 9
- New York: Wednesday, October 16
- Boston: Thursday, October 17
- San Francisco: Tuesday, December 3
- Chicago: Tuesday, December 10
In addition to the in-person Compliance Workshops, attendees will have the opportunity to participate in a peer-to-peer discussion to close out the day.
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
