Compliance Survival Strategies in a Time of Profound Change

The agenda has been specifically designed to address your top compliance
challenges in an era of great uncertainty and monumental change.

You’ll gain insights to help prepare and comply with today’s shifting regulatory landscape – everything from the prospect of an SRO for investment advisers to what to expect from OCIE’s heightened exam scrutiny to the risks and rewards of an independent compliance audit. Count on eye-opening expertise from our array of experienced speakers – including SEC regulators, top industry consultants, attorneys and your peers – dedicated to helping your compliance program in these changing times.

Plus, prominent SEC officials will address you directly including keynote speaker Daniel Hawke, director of the SEC’s Philadelphia Regional Office, and luncheon speaker Andrew Donohue, director of the SEC’s Division of Investment Management.

And our expert conference panels will give you solid, practical advice on topics such as:

  • Compliance “hot topics” (congressional action, SROs, renewed exam scrutiny, how politics and the economy are affecting the industry, and more)
  • Compliance program testing
  • SEC examinations
  • Mastering today's toughest compliance challenges
  • Performance advertising and marketing
  • Codes of ethics
  • And much more

The last year has been unlike any the industry has experienced in decades. All signs point to even more dramatic changes coming, as regulators and leaders look to close regulatory loopholes some blame for the industry’s crisis. You must be ready for what’s ahead, and our conference will give you a clear understanding of the potential impact important changes can have on your firm and its compliance program.

Benefit from guidance from top industry professionals
More than 20 industry-leading regulators, attorneys, consultants and your peers will share their astute analysis and cutting-edge guidance so you’re guaranteed to go home with the latest advice and be charged up to meet evolving compliance challenges. In addition, you’ll have the opportunity to ask your toughest questions of our panelists and take home industry perspectives from your peers via our numerous networking opportunities.

See you in Philadelphia.

Sincerely,

Carl Ayers, Publisher, IA Week, a publication of IA Watch

P.S. In times like these, you can’t risk not being in the know. Gain expertise. Register for the 9th Annual IA Compliance Fall Conference 2009 today.

Register Now!