Proven-in-Practice Guidance to Keep Your Compliance Program Sharp
Friday, June 7, 2019 | Fairmont Dallas | Dallas, TX
SEC-registered investment advisers are being examined in historical numbers. Enforcement actions against IAs up 32%. A three-part fiduciary duty rulemaking proposal. A revamp of the Commission’s advertising rules. New Form ADV data being mined by the SEC for exam target selection. A laser focus on senior clients. Cybersecurity expectations for compliance.
All this and much more currently dominate the collective conscious of IA compliance professionals.
Join your peers at IA Watch’s IA Compliance: The Full 360 Degree View Southwest conference in Dallas June 7 where you will come away with critical insight and compliance best practices to tackle today’s hottest compliance challenges. Take advantage of special savings, register today, join us in June and you’ll gain…
An executive briefing to ensure you’re ready for coming regulatory changes
Details on SEC exam focus areas, common deficiencies and critical prep techniques
Steps to ensure your firm survives examiners’ heightened interest in your senior investors
Other highlights include:
- 60 minutes of nothing but winning compliance best practices straight from your peers
- BCP lessons learned from those who were on the frontlines
- Advice on how to sidestep advertising compliance pitfalls in the age of new media
- An update on the cybersecurity landscape and the SEC’s expectations for compliance
- And much more