Join Bates Group at the 2026 IAA Compliance Conference

The regulatory environment for investment advisers continues to evolve, and preparation has never been more critical. Join Bates Group’s team of senior compliance consultants at the 2026 IAA Investment Adviser Compliance Conference, taking place March 18–20, 2026, in Washington, D.C. This annual conference is one of the leading compliance events for investment advisers, bringing together chief compliance officers, legal professionals, regulators, and industry leaders to discuss evolving regulatory expectations and best practices shaping the advisory industry.

The 2026 program will feature timely discussions and practical guidance on:

• SEC examination priorities and enforcement trends

• Compliance program effectiveness and testing best practices

• Emerging risks, including cybersecurity, data governance, and AI

• Fiduciary obligations, disclosures, and conflict management

• Operational resiliency and regulatory change management

As scrutiny increases and expectations shift, firms must remain proactive in strengthening controls, documentation, and supervisory frameworks. Bates Group partners with investment advisers to assess, enhance, and defend compliance programs, from mock exams and gap analyses to annual reviews and regulatory response.

Bates Group leaders Kurt Wachholz, Hank Sanchez, and Shelley Dragon will be on site engaging with firms and advisory professionals on effective compliance strategies, regulatory readiness, risk management, and enforcement preparedness in today’s increasingly complex environment.

We welcome the opportunity to connect during the conference and discuss proactive risk management, regulatory readiness, and compliance program solutions tailored to your needs. Contact us to learn more.

Conference Details and Registration

Bates Group is a financial services consulting firm providing expert regulatory, compliance, and litigation support to investment advisers, broker-dealers, fintech firms, and financial institutions. Our subject matter experts deliver practical, experience-driven solutions to help firms navigate complex regulatory challenges with confidence.