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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

A quote icon for decorating the content 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!

A quote icon for decorating the content Dennis W. Lloyd,

Founder & President, Columbia Capital Management

The level of expertise of the panelists was impressive!

A quote icon for decorating the content 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

Kelly Gibson, James Capezzuto, 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 Kelly Gibson

Kelly Gibson

Associate Regional Director, for Enforcement Securities & Exchange Commission

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A speaker photo for James Capezzuto

James Capezzuto

CCO, Oppenheimer Asset Management

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A speaker photo for John Grady

John Grady

Partner, DLA Piper

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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 - 00:00

Ray Lucia Recounts his Years' Long Battle with the SEC

Ray Lucia

Ray Lucia spent decades as an investment adviser – until the SEC banned him for allegedly faulty advertisements in 2013. He took his case all the way to the Supreme Court – and won. Yet his battle didn’t end there. Should his case be finally resolved in time, Lucia will share his experience and the critical lessons his case raises for others.

A speaker photo for Ray Lucia

Ray Lucia

Former Advisor

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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

Jeffrey Ingalsbe, Michael Hardy

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 Jeffrey Ingalsbe

Jeffrey Ingalsbe

Chief Information Security Officer, Flexible Plan Investments

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A speaker photo for Michael Hardy

Michael Hardy

Partner, Duane Morris

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14:00 - 15:00

Balancing Old Advertising Rules Against Today's Social Media Milieu

Sara Cortes, Amy Ward Pershkow, David Edwards, Richard Kerr

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 Sara Cortes

Sara Cortes

Assistant Director, Division of Investment Management Securities & Exchange Commission

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A speaker photo for Amy  Ward Pershkow

Amy Ward Pershkow

Shareholder, Vedder Price

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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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15:00 - 15:15

Refreshment Break: Network with Your Peers

15:15 - 16:00

Tips to Uncover and Tackle Hidden Risks

Abigail Katzen Mooney, Victor Frye, Steven Felsenthal

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 Abigail Katzen Mooney

Abigail Katzen Mooney

Compliance Director, Risk Management PNC Capital Advisors LLC

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A speaker photo for Victor Frye

Victor Frye

Counsel & COO, Pro Share Advisors

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A speaker photo for Steven Felsenthal

Steven Felsenthal

General Counsel/CCO, Millburn Ridgefield Corp.

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16:00 - 16:45

Nothing But Pure, Solid Compliance Best Practices

Steven Weiss, Brian Renelt, Aaron De Angelis

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 Steven Weiss

Steven Weiss

General Counsel/CCO, Roosevelt Investment Group

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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 Aaron De Angelis

Aaron De Angelis

CCO, Spring Mountain Capital

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16:45 - 16:45

Conference Adjourns

Kelly Gibson

Associate Regional Director, for Enforcement Securities & Exchange Commission

Jeffrey Boujoukos

Director, Philadelphia Regional Office Securities & Exchange Commission

James Capezzuto

CCO, Oppenheimer Asset Management

Sara Cortes

Assistant Director, Division of Investment Management Securities & Exchange Commission

Aaron De Angelis

CCO, Spring Mountain Capital

Mark Dowdell

Assistant Director, Philadelphia Regional Office Securities & Exchange Commission

David Edwards

President & Wealth Advisor, Heron Wealth

Steven Felsenthal

General Counsel/CCO, Millburn Ridgefield Corp.

Victor Frye

Counsel & COO, Pro Share Advisors

John Grady

Partner, DLA Piper

Michael Hardy

Partner, Duane Morris

Richard Kerr

Partner, K&L Gates

Ray Lucia

Former Advisor

Jeffrey Ingalsbe

Chief Information Security Officer, Flexible Plan Investments

Chuck Martin

Managing Director, Vigilant Compliance LLC

Michael McGrath

Partner, K&L Gates

Abigail Katzen Mooney

Compliance Director, Risk Management PNC Capital Advisors LLC

Amy Ward Pershkow

Shareholder, Vedder Price

Brian Renelt

Deputy CCO, Galliard Capital Management

Steven Weiss

General Counsel/CCO, Roosevelt Investment Group

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Hotel Information

The Inn at Penn (A Hilton Hotel)
3600 Sansom Street
Philadelphia, PA 19104
Hotel Phone: (215) 823-6240
(and reference IA Watch Conference)

Discounted Rates: $179 + tax (single/double per night)
Cut-off Date: Monday, August 26, 2019
Online Reservations:Click here!

Hotel Discount

We’ve reserved a limited number of rooms at The Inn at Penn for a special discounted rate of $179 single/double per night. Just call the hotel directly at 215-823-6240 to make your reservation. Note: Please reference IA Watch conference, to ensure you receive your special $179 room rate.

Only reservations made by Monday, August 26, 2019 or prior to the sell-out of the room block can be confirmed at the group rate.

     

The Inn at Penn (A Hilton Hotel)


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

Master Emerging IA Compliance Challenges Partners

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Media Partners

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IA Watch Subscribers Save $150
Not an IA Watch Subscriber? Register by August 16th and Save $50 with our Early-Bird Discount!

Yes! Sign me up for IA Watch‘s Master Emerging IA Compliance Challenges conference. I understand the registration fee includes admittance to all sessions, continental breakfast, a plated luncheon, refreshment breaks, and all working materials.

Take advantage of special “team” attendee discounts by calling our Compliance Concierge, Daniel Gray at dgray@regcompliancewatch.com or at 1-800-455-5844, ext. 4013 for savings details.

IA Watch‘s exclusive conference materials provide up-to-the-minute templates, checklists, forms and tools-you-will-use.  Plus, you get electronic versions of conference session presentations and working materials. This alone is worth many times the registration fee.

Early-Bird Rates (Expires 8/16/19)
IA Watch Subscriber – $845
IA Watch Alumni – $895
Non-IA Watch Subscriber  – $945

Regular Price
IA Watch Subscriber – $845
IA Watch Alumni – $995
Non-IA Watch Subscriber – $995

IA Watch Conference Policies

IA Watch reserves the right to cancel or reschedule programs and to close registration when programs are sold out. For these reasons, registrants are advised against purchasing non-refundable airline tickets. Should an event be postponed or cancelled, your registration fee will not be refunded but will automatically be applied to the rescheduled event or a future IA Watch event.

By registering for an IA Watch event you are agreeing to the following terms:

I agree not to copy or permit to be copied, in any form or format, without the express written permission of IA Watch, any of the contents of the event materials or attendee profiles. I also agree not to use the event contents for any commercial, marketing, promotional, or political purposes. No solicitation is permitted by anyone except by exhibitors within the confinement of their booth.

I understand that I am prohibited from recording any educational session content unless I have obtained written permission in advance from IA Watch, including the use of recording on social media feeds.

You are providing permission to receive emails, mailings and faxes related to the IA Watch event.

Please note IA Watch‘s IA Compliance: Master Emerging Challenges conference may share your email address with select sponsors or exhibitors. If you would like your email removed from this list, please contact us at customer@iawatch.com and we will take your name off this list immediately.

For security reasons, badge swapping is not permitted. Anyone found wearing a badge that does not match his/her identification will be evicted from the event without a refund. In addition, the badge/name will be cancelled.

Event Participants are expected to behave responsibly and to treat each other — and treat the community — with respect, kindness, and compassion. IA Watch reserves the right, without refund, to revoke the credentials of participants whose conduct is deemed inappropriate, disorderly, or offensive by IA Watch, affiliated third parties or the local authorities.

IA Watch has a weapons-free policy. Attending Participants are prohibited from carrying weapons of any kind, including concealed or displayed firearms. Participants are not permitted to bring weapons onto the premises of any IA Watch events. IA Watch reserves the right, in its sole discretion, without refund, to deactivate and/or revoke the credentials of participants who violate this weapons-free policy. Participant agrees that this policy is in force, and agrees to comply with the policy, regardless of whether signs prohibiting weapons are posted at the premises of any official IA Watch event.

I agree to all the terms and conditions set forth above, including the use of photographic images.

Noncompliance will result in registration cancellation without refund. IA Watch reserves the right to expel anyone in violation of these policies from the event.


Cancellation/Refund Policy

Due to the nature of live events — need for advance purchases and limited seating — full refunds are not offered. However, we do offer the following:

  • Cancellations received 45 days or more prior to the event are eligible for a credit or refund, less a $250 cancellation fee.
    The credit will be valid for up to 90 days from date of cancellation.
  • Cancellations made less than 45 days prior to the event are not eligible for refunds but are eligible for payment transfer (credit) to another IA Watch event, less a $250 cancellation fee.
    The credit will be valid for up to 90 days from date of cancellation.
  • Participant(s) who do not register onsite at the event will be considered “no shows” and will not be eligible for refunds/credits.
  • Participant(s) who do not cancel and do not attend are liable for the full registration fee.