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:
SEC’s Office of Compliance Inspections and Examinations
Former Associate Director for Regulatory Policy & Investment Adviser Regulation
SEC’s Division of Investment Management
Managing Director of Advisory Advocacy
TD Ameritrade Institutional
Hester M. Peirce
U.S. Securities and Exchange Commission
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.