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 inspection priorities and compliance issues with senior officials from the SEC.

Cybersecurity & Data Privacy: Practical tips to help you implement the SEC’s final data privacy rules governing the protection of clients’ non-public personal information (Regulation S-P). Plus the latest on potential new cybersecurity rules for investment advisers.

Artificial Intelligence: Get a compliance handle on complex regulatory and risk concerns arising from the rapidly evolving use of artificial intelligence (AI) technology in connection with providing asset management services.

Marketing Rule: Nearly two years after the compliance date of the new Marketing Rule, advisers are still grappling with presentation of performance issues including composites, model fees, and predecessor performance, as well as substantiation requirements. Learn the latest insights and trends.

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

New York         Wednesday, October 16

Boston             Thursday, October 17

Chicago           Tuesday, December 10