Conquering the new wave of compliance challenges

 

Come to IA Week's 8th Annual IA Compliance Fall Conference 2008. I am confident you will find this conference extremely informative as you will hear from an experienced roster of key SEC speakers, former regulators, your compliance peers, industry consultants and law firm practitioners. You can expect high value sessions with key real-world takeaways and lively debate of today’s current hot button issues—all designed to allow you to conquer the next wave of compliance challenges.

A slew of critical regulatory developments for investment advisers is on the near-term horizon. Whether it’s new Form ADV, Part 2, books and records reform, changes to the SEC’s exam document request letter, or disclosure developments, significant change is coming for compliance officers and you need to be prepared.

Our expert conference panels will give you real-world guidance on such topics as:

  • Surviving an E-World
  • Compliance Program Testing
  • SEC Examinations
  • Performance Advertising and Marketing
  • Compliance “Hot Topics” (soft dollars, valuation, Reg. S-P, disclosure, and more)
  • Codes of Ethics
  • And much more. . .

Special Keynote Address

 

We are kicking off the conference with a keynote address from Mark Schonfeld, Regional Director of the SEC’s New York Regional Office. He also shares advice on how best to prepare for an exam, and what CCOs can do to work well with the agency’s regional offices.

Exclusive Post-Conference Form ADV Workshop

 

And for the first time we are offering a timely “post-conference” devoted exclusively to new Form ADV, Part 2. This three-hour session is geared to providing high take home value, including practical guidance you will need to comply with the SEC’s proposed changes to Form ADV, Part 2 from a check-the-box format to a plain-English narrative disclosure. One of the SEC’s senior staffers who worked on drafting the proposed regulation will share guidance as will a number of your compliance peers.

Hear Straight from Top Industry Speakers

 

Our unparalleled roster of more than 30 speakers will deliver critical compliance guidance and you will also be treated to numerous networking opportunities and question and answer sessions for all panels.

 

Our 100% Money-Back Guarantee

 

If IA Week's 8th Annual IA Compliance Fall Conference 2008 does not give you the guidance you need to manage compliance effectively, we’ll refund your entire registration fee. No questions asked.


We look forward to welcoming you to Philadelphia.

 

Sincerely,

Hugh Kennedy
Group Publisher, IA Week, a publication of IA Watch