Compliance Workshops

Engage with compliance professionals from investment adviser firms for interactive sessions, practical insights. and peer-to-peer networking.

Sessions include:

A discussion about current SEC examination priorities and compliance issues with senior regional officials from the SEC.

Regulation S-P & Data Privacy: Practical tips to help you implement the SEC’s final Regulation S-P amendments, including requirements for data privacy governing the protection of clients’ non-public personal information, an incident response plan, data breach notification, and vendor oversight.

IAs Using AI: Learn the latest on the evolving legal and regulatory framework for advisers’ use of artificial intelligence (AI) in areas such as legal and compliance; investor communications and marketing; and portfolio management and investment decision making. Our discussion will cover managing AI use under the compliance program and recordkeeping rules, addressing governance and risk management, identifying and mitigating conflicts, selecting and overseeing vendors, disclosure, and training.

Sponsorship opportunities are available at Compliance Workshops in the following locations:

Chicago           Wednesday, October 1

New York         Tuesday, October 7

Boston             Wednesday, November 12