Events | 11-30-20
IAA 2020 Compliance Workshops December 2-3, 2020 - Sponsored by Bates Compliance
The Investment Adviser Association (IAA) will be holding their 2020 Compliance Workshops on Wednesday and Thursday, December 2-3, 2020. This virtual event features breakouts with speakers from nine SEC regional offices across the country sharing current examination priorities for investment advisers, in addition to general sessions covering other important matters for the advisory community, such as managing conflicts of interest.
Bates Compliance Managing Director Linda Shirkey (pictured above) will be speaking on the Day 2 General Session "Fiduciary Obligations for Identifying, Managing, and Disclosing Conflicts of Interest." In this session, attendees will learn how advisers identify, manage, and disclose conflicts of interest and periodically assess these processes. The panel will discuss the SEC’s actions in this area, including its fiduciary duty interpretation and recent enforcement actions.