Please join Mayer Brown Investment Management partner Amy Pershkow at the IAA Fall Compliance Workshop in Philadelphia. This workshop will address important compliance-related topics for SEC-registered investment advisers.

  • Hear SEC staff from the region’s Office of Compliance Inspections and Examinations discuss current examination priorities for advisers.
  • Learn about current regulatory developments and get the latest view from Washington from IAA attorneys.
  • Participate in a hands-on workshop session dissecting a “bad ad” to identify and resolve common issues in advertisements, including performance claims and subtle ways that marketing material might be construed as misleading, as well as the use of social media for advertising.
  • Walk through a checklist of the new Form ADV amendments to ensure that you are prepared for your next filing.
  • Explore techniques to oversee third-party service providers – including due diligence, documentation and handling cybersecurity issues.

Speakers will include attorneys from nationally recognized law firms, CCOs, compliance consultants, and IAA legal staff. The workshop will include a networking luncheon where attendees can share ideas about other compliance issues.

Wyndham Philadelphia Historic District
400 Arch St, Philadelphia, PA 19106

For more information, visit the workshop website.