IA Compliance Fall Conference
  • Introduction
  • Conference
  • Post-Conference
  • Register
  • Exhibitors
  • PDFPrint PDF
Conquering the new wave of compliance challenges
IA Compliance
We Will Cover
  • Form ADV, Part 2
  • SEC Examinations
  • The Annual Review
  • Risk Assessment
  • Performance Advertising
  • Disclosure Reform
  • Books & Records
  • E-mail Retention
  • Regulation S-P
  • Code of Ethics
  • Insider Trading
  • Soft Dollars
Who Should Attend
  • Chief Compliance Officers
  • Compliance Officers
  • In-House Legal & Compliance Personnel
  • General Counsel
  • Outside Counsel
  • Senior Officers & Executives
Register Today!