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Increased SEC exams.
Heightened regulatory activity.
The growing challenge to do more with less.

While your workload only grows, you can find solace in the tested solutions discovered by your peers.

Join us in Philadelphia and take-home best practices honed by compliance professionals and hear from regulators about what’s coming around the next bend — so you’re ready and your program remains sharp.

Our day-long IA compliance conference begins with a keynote address by Jeffrey Boujoukos, the regional director of the SEC’s Philadelphia office. He’ll spell out his and the agency’s priorities. Nothing beats being in the know. Other sessions impart:

  • The latest on regulatory initiatives being hatched by the SEC.
  • Strategies to ensure you’re ready for your next OCIE exam.
  • Effective techniques to spot and mitigate your toughest risks.
  • Compliance best practices that span the full range of your program.
  • Lessons from a bitterly contested enforcement action.
  • The latest on your role in helping your firm repel cyber bad guys.
  • And much more
You will also earn 6.5 CLE/CPE/CFP credits.

There’s no need to wrestle with your toughest compliance challenges on your own. Join your peers in Philadelphia to discover best practices and insights into coming SEC initiatives.

Register to attend IA Watch‘s IA Compliance: Master Emerging Challenges conference in Philadelphia on September 16 and gain guidance to take your program to the next level — as well as to prepare for what’s coming next. Nothing beats being in the know.

Sample what you’re guaranteed to take home after attending IA Watch‘s Master Emerging IA Compliance Challenges conference in the City of Brotherly Love.

  • Best practices that apply across the entire spectrum of IA compliance
  • Tested processes to help you deal with your most pressing risks — and tips to uncover hidden ones
  • Steps to ensure you’re ready for an OCIE exam
  • Tips to strengthen your firm’s cybersecurity
  • Lessons from SEC enforcement cases
  • A peek at changes to the SEC’s advertising rules
  • And much more.

BONUS: Take home IA Watch‘s tools-you-will-use — one more way our conferences stand out from the rest and give you real-world tested guidance that no one else can touch.

Our 100% Money-Back Guarantee
You face no risk. You get our iron-clad guarantee. Gain ideas to improve your compliance program at this Philadelphia conference or we’ll refund your entire registration fee. No questions asked. You won’t find a better guarantee anywhere.

Who Should Attend

  • Chief Compliance Officers
  • Compliance Officers
  • In-House Legal and Compliance
  • General Counsels
  • Outside Counsels
  • Senior Officers and Executives
  • CFOs
  • Owners/Presidents
  • Senior VPs

View Our Highlights Video

Top Reasons to Attend

  • Hear directly from SEC officials
  • Gain best practices to improve your compliance program
  • Be aware of hot compliance issues coming your way
  • Take home proven exam-prep tips
  • Find answers to your toughest compliance challenges
  • Network with your peers
  • Go home with tools-you-will-use
  • Test your approaches against some of the country’s savviest compliance officers
  • Pose your most penetrating questions to industry experts
  • Take advantage of our free wi-fi to stay connected to the office

SEE WHAT OUR ATTENDEES HAVE TO SAY

Diane Miller,

Chief Financial Officer, Christian Brothers Investment Services

The conference topics were both interesting and useful. The day flew by and I have lots of useful ideas to bring back!

Dennis W. Lloyd,

Founder & President, Columbia Capital Management

The level of expertise of the panelists was impressive!

Diane Cortese,

Assistant Director of Compliance, Principal Global Investors

The panel setting worked well and encouraged good dialogue. Lots of real world examples provided. This conference was very helpful and informative!

Current & Past Attending Companies Include:

57 Stars LLC
Aetna Asset Advisors LLC
BCBSM, Inc.
Bridgewater Associates LP
Carousel Capital
Columbia Capital Mgmt.
Compton Wealth Advisory Group
Dziura Compliance Consulting
Elleverage Inc.
Financial Coach
Franklin Templeton Investment
HCI Equity Partners
Integrated Financial Group
Inverness Graham Investments
Island Capital Group LLC
LeGaye Law Firm P.C.
Logan Circle Partners, L.P.
Lovell Minnick Partners LLC
Madison International Realty
Massey Quick Simon & Co.
McDonnell Investment Management
Money Managers Advisory
MPM Wealth Advisors
National Investment Services
Redwood Investments
Rothchild Capital Partners
S & T Bank
Scout Investment Advisors
Summit Financial Consultants
SunTrust Advisory Services
US Asset Management
Valley View Consulting
VIP Capital Management
Waldron Private Wealth
Wingate Wealth Advisors
Day 1
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Agenda

Day 1 - Monday 16th

IA Compliance: Master Emerging Challenges
07:30 - 08:30

Registration: Meet our Exhibitors and Enjoy a Continental Breakfast

08:30 - 09:00

Keynote Address: Jeffrey Boujoukos, Director, SEC's Philadelphia Regional Office

Jeffrey Boujoukos

An ambitious agenda lies before the SEC. Regulatory initiatives, expanded exams and toughened enforcement positions dominate the Commission. Director Boujoukos updates you on what’s hot within the agency, demonstrating why you must stay on top of what your regulator considers vital – so you’re ready for what’s coming your way.

A speaker photo for Jeffrey Boujoukos

Jeffrey Boujoukos

Director, Philadelphia Regional Office Securities & Exchange Commission

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09:00 - 10:00

Hot Topics: Emerging Regulatory Initiatives Sure to Challenge Your Program

James Capezzuto, Kelly Gibson, John Grady

The pace of change out of Washington is quickening. Among the initiatives being contemplated by the SEC are new fiduciary duty rules, revisions to the Advisers Act’s advertising rules, plans for additional required disclosures, rules governing use of derivatives, fund of fund rules, regulations affecting swaps, and more. Our panel alerts you to what’s new and what’s coming so you’re prepared.

A speaker photo for James Capezzuto

James Capezzuto

CCO, Oppenheimer Asset Management

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A speaker photo for Kelly Gibson

Kelly Gibson

Associate Regional Director, for Enforcement Securities & Exchange Commission

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A speaker photo for John Grady

John Grady

Partner, Practus LLP

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10:00 - 10:30

Refreshment Break in Exhibit Hall

10:30 - 11:30

Red-Hot SEC Exam Topics and How to Prepare for Your Next Exam

Mark Dowdell, Chuck Martin, Michael McGrath

Examinations of SEC-registered investment advisers hit historical highs last year and OCIE’s goal is to conduct 2,300 IA exams in FY 2020. Now more than ever it is critical to understand the exam environment.

Our panel will detail:

  • the varied types of exams the SEC is conducting;
  • the key factors the Commission weighs when affixing a firm’s risk profile;
  • current exam focus areas and what sweeps and alerts are coming;
  • the Top 5 deficiency areas and how to avoid them;
  • best practices to employ before, during and after an exam; and
  • much more.

BONUS: Attendees will receive SEC document request letters across varied regions, sweep exam letters, never-before-examined firms’ request letters, and a list of 40 exam best practices tips.

A speaker photo for Mark Dowdell

Mark Dowdell

Assistant Director, Philadelphia Regional Office Securities & Exchange Commission

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A speaker photo for Chuck Martin

Chuck Martin

Managing Director, Vigilant Compliance LLC

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A speaker photo for Michael McGrath

Michael McGrath

Partner, K&L Gates

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11:30 - 12:00

A Cybersecurity Sampler: Real-Life Risks and Tested Solutions

Ray Hillen, Jason Maddox, Sherwyn Williams

This quick-paced session regales you with real cybersecurity risks facing advisory firms and hands you actions your firm can take to prevent damaging attacks on its network. Your appetite will be whetted for our post-lunch detailed look at cybersecurity.

 

A speaker photo for Ray Hillen

Ray Hillen

Managing Director, Cybersecurity, Agio

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A speaker photo for  Jason  Maddox

Jason Maddox

Director, Information Technology/CISO, Roark Capital Group

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A speaker photo for  Sherwyn  Williams

Sherwyn Williams

CTO/CISO at Siris Capital Group

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12:00 - 13:00

Lunch: Network with Your Peers

13:00 - 14:00

New Ideas to Strengthen Your Firm Against Relentless Cyber Criminals

Joshua Mooney, Jonathan Wowak, Michael Quinn

The vexing challenge of cybersecurity isn’t going away any time soon. Cybersecurity can be found front and center among the SEC’s current exam priorities. OCIE’s “Cyber 3” initiative is now underway and firms are being asked tough cyber questions on exams. Our panel will reveal what those hard questions are, detail the current threat environment, discuss lessons learned from recent cyber enforcement cases, offer critical best practices across the SEC’s core cyber focus areas, tackle the potential impact of state privacy laws, and address the Commission’s cybersecurity expectations for compliance.

BONUS: Attendees will receive a cyber checklist for IAs, a list of cyber questions being asked on SEC exams, cybersecurity policies and procedures, and a data breach incident response plan.

A speaker photo for Joshua Mooney

Joshua Mooney

Partner, White and Williams

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A speaker photo for  Jonathan Wowak

Jonathan Wowak

Chief Operating Officer, Cipperman Compliance Services

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A speaker photo for Michael Quinn

Michael Quinn

Managing Director, Kroll

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14:00 - 15:00

Balancing Old Advertising Rules Against Today's Social Media Milieu

David Edwards, Richard Kerr, Joseph Mannon

The SEC’s advertising rules came to be in the 1960s and haven’t been rewritten since. It’s time and the Commission recognizes that. IM Director Dalia Blass has signaled that IM is actively preparing to present recommendations for a proposal on modernizing the advertising and solicitation rules for IAs. Hear what might be coming down the pike, how social media is increasingly coming into play, how the GIPS compliance landscape is shifting, how misleading advertising tripped up a robo-adviser, what happened when compliance wasn’t unified in reviewing ads and more.

BONUS: Attendees will receive a peer-created overview of SEC advertising rules for advisers, an advertising and marketing checklist, a marketing approval form, and advertising P&Ps.

A speaker photo for David  Edwards

David Edwards

President & Wealth Advisor, Heron Wealth

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A speaker photo for Richard Kerr

Richard Kerr

Partner, K&L Gates

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A speaker photo for Joseph Mannon

Joseph Mannon

Shareholder, Vedder Price

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15:00 - 15:15

Refreshment Break: Network with Your Peers

15:15 - 16:00

Tips to Uncover and Tackle Hidden Risks

Ellen Harvin, Adam Reback

Knowing your firm’s compliance risks and taking proactive steps to mitigate those risks is of paramount importance. Constantly updating your risk matrix is critical and stated SEC exam priorities, the announcement of SEC enforcement actions and the release of OCIE risk alerts all can serve as risk review prompts. Hear how your compliance peer identify hidden risks, including conflicts of interest, and how your risk matrix can serve as the road map for the conducting of your annual review.

BONUS: Among other items, attendees will receive a risk management matrix, and a conflicts inventory worksheet.

A speaker photo for Ellen Harvin

Ellen Harvin

Vice President, Fairview Investment Services

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A speaker photo for Adam Reback

Adam Reback

Director, Optima Partners

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16:00 - 16:45

Nothing But Pure, Solid Compliance Best Practices

Aaron De Angelis, Brian Renelt, Steven Weiss

Name your toughest challenge? Odds are our panel has solutions for you. The rubber hits the road in this session as our compliance experts share their best practices on a full range of compliance issues – from best execution to trading, advertising reviews to new compliance P&Ps, and more. Get ready to exercise your hand because you’re going to be taking lots of notes.

INTERACTIVE ALERT! Attendees, look for our pre-conference survey via e-mail this summer, which will give you an opportunity to suggest a compliance topic for which our panel will share their best practices.

BONUS: Go home with an overview of the SEC’s advertising rules.

A speaker photo for Aaron De Angelis

Aaron De Angelis

CCO, Spring Mountain Capital

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A speaker photo for Brian Renelt

Brian Renelt

Deputy CCO, Galliard Capital Management

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A speaker photo for Steven Weiss

Steven Weiss

General Counsel/CCO, Roosevelt Investment Group

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16:45 - 16:45

Conference Adjourns

 

Stay tuned for the announcement of our Post-Workshop Conference Agenda.

 

 

Jeffrey Boujoukos

Director, Philadelphia Regional Office Securities & Exchange Commission

James Capezzuto

CCO, Oppenheimer Asset Management

Aaron De Angelis

CCO, Spring Mountain Capital

Mark Dowdell

Assistant Director, Philadelphia Regional Office Securities & Exchange Commission

David Edwards

President & Wealth Advisor, Heron Wealth

John Grady

Partner, Practus LLP

Kelly Gibson

Associate Regional Director, for Enforcement Securities & Exchange Commission

Ellen Harvin

Vice President, Fairview Investment Services

Ray Hillen

Managing Director, Cybersecurity, Agio

Richard Kerr

Partner, K&L Gates

Jason Maddox

Director, Information Technology/CISO, Roark Capital Group

Joseph Mannon

Shareholder, Vedder Price

Chuck Martin

Managing Director, Vigilant Compliance LLC

Michael McGrath

Partner, K&L Gates

Joshua Mooney

Partner, White and Williams

Michael Quinn

Managing Director, Kroll

Adam Reback

Director, Optima Partners

Brian Renelt

Deputy CCO, Galliard Capital Management

Steven Weiss

General Counsel/CCO, Roosevelt Investment Group

Sherwyn Williams

CTO/CISO at Siris Capital Group

Jonathan Wowak

Chief Operating Officer, Cipperman Compliance Services

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Hotel Information

Crowne Plaza Times Square
1605 Broadway
New York, NY 10019
Hotel Phone: _________________
(and reference RCW Conference)

Discounted Rates: $ _______ + tax (single/double per night)
Cut-off Date: _____________
Online Reservations:Click here!

Hotel Discount

We’ve reserved a limited number of rooms at The Crowne Plaza Times Square for a special discounted rate of $ ______ single/double per night. Just call the hotel directly at ______  to make your reservation. Note: Please reference RCW Conference, to ensure you receive your special $_____ room rate.

Only reservations made by ___________ or prior to the sell-out of the room block can be confirmed at the group rate.

The Crowne Plaza - Times Square


Satisfy your annual CLE/CPE/CFP requirements at
IA Watch‘s IA Compliance: Master Emerging Challenges conference.

As a national CLE/CPE/CFP provider, IA Watch‘s conference will offer up to 6.5 CLE/CPE/CFP credits. A focused approach to continuing education is vital to your firm in a year marked by an abundance of new SEC initiatives.

PEI Media Group, the parent company of IA Watch, which is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry for CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, website: www.nasba.org. If you have any questions regarding CLE/CPE/CFP credits, please do not hesitate to contact our Conference Coordinator, Marquia Parnell at 1-800-455-5844, Ext. 4016 or mparnell@regcompliancewatch.com

Partners & Solutions Providers

Become a partner of IA Watch and meet IA compliance professionals hungry for your solutions!
Click here to download Vendor Opportunities Guide

For more information on exhibiting or sponsorship possibilities, please contact Account Executive

For more information on the agenda or speaking opportunities, please contact Conference Producer

Showcase Your Company

IA Watch‘s IA Compliance: Master Emerging Challenges conference offers attendees who come to learn and talk to exhibitors about what you can do for them. You will find yourself surrounded by the top advisory industry compliance and IT professionals hungry for your solutions.

Our attendees come to learn and talk to exhibitors about what you can do for them. You will find yourself surrounded by the top advisory industry compliance professionals hungry for your solutions.

Partners to Date Include:

 


 

Media Partners To Date Include:

PREMIUM LEVEL
Booth Space
Logo on Event Site
Company Info on App
Pre-or-Post Email
Full Attendee List*
App Advert
Seat Drop Ad
Ad Slide on Stage
3 Registrants

PLUS LEVEL
Booth Space
Logo on Event Site
Company Info on App
Pre-or-Post Email
Partial Attendee List*
App Advert
Seat Drop Ad
Ad Slide on Stage
2 Registrants

BASIC LEVEL
Booth Space
Logo on Event Site
Company Info on App
Pre-or-Post Email
Partial Attendee List*
App Advert
Seat Drop Ad
Ad Slide on Stage
1 Registrant

At each conference, you’ll:

  1. Get in front of the industry’s smartest CCOs, senior executives, compliance and IT professionals.
  2. Network with key compliance decision makers and turn meaningful conversations into hot leads.
  3. Gain access to a diverse audience looking for hard-hitting solutions.
  4. Expect compliance professionals from advisory firms of varying sizes and management executives among the exclusive conference attendees. Most importantly, our attendees have the resources to seek out innovative products and services for their firms.
  5. And much, much more!

In addition to your display area, every exhibitor receives:

  1. Access to investment adviser CCOs, General Counsel and other senior executives.
  2. Access to all sessions and lunch for exhibitor attendees to network with clients.
  3. Breakfast and refreshment breaks are held in the Exhibit Hall for optimal opportunities to showcase your products.

*Partial attendee list includes company name, city and state; full attendee list adds delegate name, address and email address.

Click here to download Vendor Opportunities Guide

 

Attendee Personas

 

 

Current & Past Sponsors Include:

SPONSOR BENEFITS: Brand Exposure. Thought Leadership. Networking. Lead Generation.
AGIO
Alaric Compliance Services
BasisCode Compliance
Charles Schwab
Chicago Clearing Corporation
Cipperman Compliance Services
Compliance Risk Concepts
Core Compliance & Legal Services
Fairview Investment Services
Gordian Compliance Solutions
Global Relay
Midland Custody Solutions
Orion
RRS
TD Ameritrade
Vigilant
Winquest
ZIX

RCW: The Full 360° Compliance View Team

SPEAKING OPPORTUNITIES
Alma Subasic | Conference Producer | T: 646-356-4521 | Ealma.s@peimedia.com

SPONSOR & EXHIBIT OPPORTUNITIES
Jimmy Kurtovic | Business Development Manager | T: 646-795-3273 | E: jimmy.k@peimedia.com

MEDIA PARTNERSHIPS, PRESS & GENERAL  MARKETING OPPORTUNITIES
Bobby Brinson | Senior Conference Marketing Manager | T:  646-970-3802 | E:  bobby.b@peimedia.com

 

View our 2019 IA Compliance: Master Emerging Challenges presentation material

Post-Event Resources

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BD Scorecard