IA Compliance Fall Conference
  • Introduction
  • Agenda
  • Register
  • Exhibitors
  • PDFDownload Brochure PDF
Compliance Survival Strategies in a Time of Profound Change
We Will Cover
  • Form ADV, Part 2
  • SEC Examinations
  • The Annual Review
    and Testing
  • Performance Advertising and Marketing
  • Books & Records
    and E-mail Retention
  • Codes of Ethics
    and Insider Trading
  • Coming Regulatory Reform
Who Should Attend
  • Chief Compliance Officers
  • Compliance Officers
  • In-House Legal & Compliance Personnel
  • General Counsel
  • Outside Counsel
  • Senior Officers & Executives
Register Today!