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Commitment to Compliance Conference

September 18, 2017

Change is coming for investment adviser compliance professionals. Substantial Form ADV changes come with an October deadline and the knowledge that the new data collected will assist the Commission in selecting exam targets. SEC exams are up 25% in the first half of FY 2017. The DOL rule has already wrought significant change regardless of whether or not it is revised or repealed. Cybersecurity challenges continue to evolve. And new leadership at the Commission will look to make their mark going forward.

 IA Watch‘s comprehensive, one-day conference will keep you abreast of all the changes and how they will impact IA compliance programs going forward. Register for  IA Watch’s industry-leading investment adviser compliance conference in Boston and go home with guidance on:

  • Rulemaking expectations going forward and near-term coming changes.
  • The top current SEC exam and enforcement targets.
  • Form ADV changes kicking in on October 1.
  • The latest on where things stand with the controversial DOL fiduciary duty rule.
  • Tips for how you can skip an expensive surprise custody audit.
  • Critical compliance “best practices” currently being employed by your peers.
  • The current cybersecurity landscape and compliance’s expected cyber risk ranking role.


September 18, 2017
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