Presentations

The IAA Compliance Workshops are an excellent opportunity to gain practical insights into challenging legal and regulatory issues facing SEC-registered investment advisers, and to meet compliance and legal professionals from other IAA member firms.

This workshop will address important compliance-related topics for SEC-registered investment advisers. Click here for detailed information about the speakers for this workshop.

• Hear members of SEC Headquarters or SEC Regional Offices discuss current examination priorities for advisers.
• Learn about key regulatory developments and the latest updates from Washington from IAA attorneys.
• Learn how to draft effective disclosure documents and other material and identify how to avoid common pitfalls in drafting Form ADV and other disclosures.
• Dive into common compliance program testing techniques that were surveyed in IAA’s 2018 Compliance Testing Survey. Compare best practices and learn about strategies and guidelines for maintaining a robust and responsive compliance testing program, including reviewing and testing various fees and expenses.
• Discuss managing electronic communications, including issues around recordkeeping, social media, email, Cloud storage, device management, and cybersecurity. The panel and attendees will discuss compliance with Advisers Act rules and other relevant regulations, as well as best practices.

In addition to SEC staff, speakers will include attorneys from nationally recognized law firms, CCOs, compliance consultants, and IAA legal staff. The workshop will include a networking luncheon at which attendees can exchange ideas about shared compliance concerns.

To learn more and register for this workshop, click here.