IA Compliance: The Full 360° View West

IA Compliance: The Full 360° View West

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November 8, 2018 | Marines' Memorial Club & Hotel | San Francisco, CA

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Subscribers save $150.

Take advantage of special “team” attendee discounts by calling our
Compliance Concierge, Terry Green, at 1-800-455-5844 ext. 8004
or email customer@iawatch.com for savings details.

 



November 8
Marines’ Memorial Club & Hotel | San Francisco, CA

The chances of your firm experiencing a visit from SEC examiners are on the rise. Fully 15% of the SEC-registered IA population can expect to be subjected to an exam this year — a 40% uptick, representing a level not seen in years.

IA Watch returns to San Francisco to give you guidance on emerging regulatory trends, exam focus areas, common exam deficiencies and compliance best practices, and more.

Join us for this one-day conference designed to keep compliance officers current with regulatory change, enforcement and other developments impacting IA compliance professionals.

Our conference agenda includes 7 information-packed sessions:

7:30 a.m. – 8:30 a.m.
Registration and Continental Breakfast

8:30 a.m. – 9:00 a.m.
Keynote Address: Jina Choi (invited), SEC Regional Director (San Francisco office)

9:00 a.m. – 10:00 a.m.
Red-Hot Regulatory Issues: Tips to Ready Your Firm for What's Coming

10:00 a.m. – 10:30 a.m.
Refreshment Break: Meet Our Exhibitors

10:30 a.m. – 11:15 a.m.
New Form ADV Disclosures: What the New Data Revealed and How it Will be Used

11:15 a.m. – 12:00 p.m.
Seniors: Key Steps to Ensure Your Firm Survives Examiners’ Heightened Interest

12:00 p.m. – 1:00 p.m.
Lunch: Hear from Luncheon Speaker Ray Lucia on his Supreme Court Case

1:00 p.m. – 2:00 p.m.
SEC Exams: Current Focus Areas, Common Deficiencies and Critical Prep Steps

2:00 p.m. – 3:00 p.m.
60 Minutes of Nothing but Winning Compliance Best Practices

3:00 p.m. – 3:15 p.m.
Refreshment Break: Network with Your Peers in the Exhibit Hall

3:15 p.m. – 4:00 p.m.
Advertising: Sidestepping Compliance Pitfalls in the Age of New Media

4:00 p.m. – 4:45 p.m.
Cybersecurity: The Current Threat Environment and the SEC’s Expectations for Compliance

4:45 p.m.
Conference Adjourns


Space is limited so please register early. If you have any questions, or if you prefer to register over the phone please contact our Attendee Concierge, Terry Green at
800-455-5844, Ext. 8004.

P.S. You have nothing to lose, there is absolutely no risk in registering. We offer our iron-clad 100% Money-back guarantee: return to your office with practical advice, best practices and peer-tested guidance or we’ll refund your entire registration fee. No questions asked. We’re that confident that you’ll go home with winning compliance solutions and best practices.