IA Compliance: The Full 360° View West

Critical and Timely Insight for Investment Adviser Compliance Professionals

November 2, 2017
The Los Angeles Athletic Club

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:

  • The SEC’s current examination and enforcement environment.
  • Today’s hottest compliance issues and rulemaking expectations going forward.
  • Significant Form ADV changes that start on Oct. 1, 2017.
  • How to handle aging client challenges (a regulatory focus!).
  • The latest on where things stand with the controversial DOL fiduciary duty rule.
  • How to write effective, compliant disclosures and avoid missteps.
  • The cybersecurity landscape and compliance’s expected risk ranking role.
  • And much, much more.

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.