Change is coming for investment adviser compliance professionals. Substantial Form ADV changes come with an October deadline and the knowledge that the new data collected will assist the Commission in selecting exam targets. SEC exams are up 25% in the first half of FY 2017. The DOL rule has already wrought significant change regardless of whether or not it is revised or repealed. Cybersecurity challenges continue to evolve. And new leadership at the Commission will look to make their mark going forward.
IA Watch's comprehensive, one-day conference will keep you abreast of all the changes and how they will impact IA compliance programs going forward. Register for IA Watch’s industry-leading investment adviser compliance conference in Boston and go home with guidance on: