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IAA 2022 Regional Compliance Roundtables

The Investment Adviser Association is coming to a city near you, and we are excited to visit with IAA members in person once again. This is a fantastic opportunity to get to know your local SEC exams staff in a small-group setting, and discuss compliance challenges and exchange practical ideas with fellow IAA members.

What Can You Expect at a Regional Compliance Roundtable?

Part One: A senior official from your SEC Regional Office will outline the SEC’s national and regional inspection priorities and answer your questions about SEC exams in your region.

Part Two: The IAA staff will provide a regulatory update and share brief highlights and takeaways from the IAA’s fall Compliance Workshops, which are focused on Marketing Rule implementation. For a deep dive into the Marketing Rule, register for an IAA Compliance Workshop. The IAA is offering both virtual and in-person options for your convenience.

Part Three: You will participate in a roundtable with your peers to discuss compliance issues, exchange ideas for best practices, and enhance your network.

Registration for the Regional Compliance Roundtables is limited to IAA members only and is complimentary.

Interested in sponsoring this event? Contact IAA Marketing & Partnerships Manager Alex Ioannidis at alex.ioannidis@investmentadviser.org for more information.

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