IA Watch’s 21st annual compliance conference for investment advisers delves into the key changes ahead, and the SEC’s direction as it examines the nation’s growing number of IA firms. -Carl Ayers, Publisher Regulatory Compliance Watch
WASHINGTON (PRWEB) December 05, 2018
Compliance officers and senior executives will gather at the Mayflower Hotel in Washington D.C, on March 7 – 8, 2019 for IA Watch’s 21st Annual IA Compliance: The Full 360 Degree View East conference bringing together a unique blend of regulatory insights and compliance best practices to help keep firms’ compliance programs strong.
With more than 40+ speakers covering every angle you can imagine – from proposed new rules to compliance best practices, the two-day program includes nearly a dozen interactive panel discussions, breakout sessions devoted to custody, FINRA exams/enforcement, conflicts and ethics, and networking opportunities. Every panel has a mix of regulators, CCOs, law firm partners, and advisory industry consultants.
This year’s conference features a total of 16 sessions covering SEC exams, fiduciary duty, cybersecurity, disclosures, seniors, a regulatory update, and much more. The conference will also feature a keynote address from OCIE Director Peter Driscoll (Invited), who will share some revelations about OCIE’s exam priorities, and “Meet Your Regulator” sessions.
Additionally, the attendee favorite “Breakfast of Champions,” will be featured in this year’s conference, where peers will share their favorite compliance initiatives and lessons learned. Attendees will also earn up to 11.5 CLE/CPE credits, including 1 CLE for ethics and receive exclusive worksheets, templates, P&Ps, and more peer-proven documents guaranteed to save them time and money.
To learn more about IA Compliance: The Full 360 Degree View East event and to register, visit:
To download the IA Compliance: The Full 360 Degree View East conference brochure, click:
About IA Watch Conferences
IA Watch conferences provide you with practical guidance to increase engagement in regulatory and compliance practices. By bringing together professionals in the industry to share their common challenges, we create new solutions and transform workplace culture to protect firm reputations.