Substantial Form ADV revisions. Ever-increasing SEC exams and a continued focus on never-before-examined firms. A DOL fiduciary duty rule that comes with yet another compliance deadline. Ever-evolving cybersecurity challenges. New leadership at the Commission looking to make its mark. These are just a few of the many examples that demonstrate change is a constant for investment adviser compliance professionals.
Our comprehensive, one-day conference will keep you abreast of all the changes and how they will impact IA compliance programs going forward. Register for the industry-leading investment adviser compliance conference in Los Angeles and go home with guidance on:
Conference attendees also will secure take-home access to dozens of sample P&Ps, SEC document request letters, compliance checklists, matrices, sample agreements, and much more.