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Smaller Advisers Compliance Forum

The Smaller Advisers Compliance Forum provides opportunities for members of firms with limited personnel and budgets to network and discuss compliance issues. In addition to quarterly conference calls, members meet regionally in person in connection with certain local IAA compliance workshops.

Meeting Frequency:  Quarterly conference calls

See Other Committees Online Community

IAA Staff Liaison

Laura Grossman
Associate General Counsel

We encourage all members to participate in our Committees, Working Groups, and Forums.

To join the Smaller Advisers Compliance Forum or its online community on the IAA Exchange, please contact iaaservices@investmentadviser.org or call (202) 293-4222.

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