IA Watch

20th annual
IA Compliance: The Full 360° View East
Navigating the Shifting Landscape of IA Compliance

March 21-23, 2018
Capital Hilton

As new leadership in Washington reshapes the compliance landscape – exerting its influence to change the regulatory picture for advisers – the challenges for compliance officers remain formidable.

Join us in our Nation’s Capital to gain guidance on how to nimbly adjust your compliance program for this shifting regulatory arena so you can avoid embarrassing exam deficiencies and costly compliance missteps.

Register for IA Watch’s 20th annual IA compliance conference and benefit from our unique blend of Washington insiders, regulators, law firm partners, industry consultants and adroit peers so you stay on top of all the changes. You’ll gain…

  • Insights into OCIE’s compliance do’s and don’ts for advisers
  • Guidance to make sense of the latest revisions to the custody rule
  • Last-minute advice on how to answer a dramatically revised Form ADV
  • Answers to what it means to be a fiduciary in the eyes of Washington regulators
  • Action-items to implement courtesy of IA Watch’s exclusive "Meet Your Regulator" sessions
  • Tips to help you improve your monitoring for compliance lapses
  • A winning plan to supervise multiple offices
  • The latest on cybersecurity actions to help secure your firm’s systems
  • And much more.

Bonus: Conference attendees also will secure take-home access worksheets, templates and more tools-you-will-use to bolster your compliance efforts.

Plus, sign up for our must-attend Pre-Conference Workshop: A Road Map to Ace Your Next SEC Exam on Wednesday, March 21, 2018.