IA Watch: The Full 360 Degrees

Compliance Solutions for a Time of Mounting Challenges

March 7-8, 2019  |  The Mayflower Hotel  |  Washington, D.C.

Join The Stellar Roster of Speakers Including:

Dan Kahl
Deputy Director, Office of Compliance Inspections and Examinations, Securities and Exchange Commission

Diane Blizzard
Former Associate Director for Regulatory Policy & Investment Adviser Regulation, SEC’s Division of Investment Management

Skip Schweiss
Managing Director of Advisory Advocacy, TD Ameritrade Institutional

Hester M. Peirce
Commissioner, U.S. Securities and Exchange Commission

Click For Full Speakers Roster

Fiduciary duty. Expanded OCIE exams. Limited resources. A growing list of to-do’s. Your job’s not getting any easier, and Washington has some ideas to further complicate things.

Join us in our Nation’s Capital where we will tackle the hot compliance issues of the day. Register for IA Watch’s 21st annual IA Compliance: The Full 360° View East conference. You’re guaranteed to hear the latest on regulatory changes and gain best practices sure to strengthen your compliance program. The conference will allow you to:

Get plugged in by hearing directly from key regulators on what’s coming your way

Prepare your shop for OCIE’s evolving exam priorities

Arm yourself with disclosure standards to avoid enforcement troubles

Other highlights include:

  • Take-home tips to spot hidden conflicts of interest within your firm
  • Tips to ready your firm for heightened scrutiny from regulators on how you handle senior clients
  • Gain clarity on where the SEC’s headed with new fiduciary duty rules and disclosures
  • Hear peers describe harrowing experiences that tested the bounds of their business continuity plans to the breaking point — so you can stay calm at the worst possible time!
  • And much more.

360° View East Partners

Compliance Risk Concepts
TD Ameritrade
Midland IRA