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2021 Compliance Workshops - IAA Virtual Compliance Workshops - Thursday, Nov 4th - Thursday, Nov 18th. 25th Anniversary

IAA’s Virtual Compliance Workshops

The IAA thanks the speakers and attendees who made our 2021 Compliance Workshops a success. Over two days, we discussed two issues that are top of mind for compliance officers – the new Investment Adviser Marketing Rule and ESG compliance.

Two general sessions and one breakout were devoted to the Marketing Rule, which our recent Investment Management Compliance Testing Survey showed is the number one concern of compliance personnel. General sessions included Implementing Effective Policies and Procedures to Comply with the New Marketing Rule and Presentation of Performance Under the New Marketing Rule. And in breakout sessions – one for smaller firms, one for larger firms – experts answered questions about getting prepared for the Marketing Rule, which goes into effect in November 2022.

The workshops also offered general sessions on building an ESG compliance program – Portfolio Management and Proxy Voting Issues and Disclosure and Client Communication Issues.

Continuing education credit (CLE, NASBA CPE, CFP, and IAACP) is available to attendees.

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