November 05, 2019

IAA 2019 Compliance Workshop


Chicago partner Jim Lundy will speak at the Investment Adviser Association’s (IAA) 2019 Compliance Workshop on November 5, 2019, in Los Angeles.

The workshop is broken into sessions. The first session, “SEC Exams: The SEC Process and Your Preparation,” will explore how the Office of Compliance Inspections and Examinations (OCIE) selects investment advisers to review, determines the scope of its exam, and uses data and analytics in the process. In particular, Jim will provide insights on OCIE risk alerts and OCIE practices regarding referrals to the Division of Enforcement.

The SEC’s recently finalized Form CRS requirements are the subject of the second session, titled “Form CRS for Advisers to Retail Investors.” Panelists will provide an overview of the form, including requirements for content and formatting of disclosures on the adviser’s standard of conduct, services, fees, and conflicts of interest, among other details; delivery, filing, and updating requirements; and compliance policies and best practices for preparing the form. Jim will lead the discussion on standards of conduct and conflicts of interest.

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