FIRST NAME
MIDDLE INITIAL
LAST NAME
SUFFIX
DESIGNATION
BADGE NAME
TITLE | POSITION
FIRM OR ORGANIZATION NAME
EMAIL
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CELL PHONE: Please enter your cell phone number here or email to lisa.gillette@investmentadviser.org. This will only be used for urgent communications regarding this conference.
EMERGENCY: Emergency Contact Name and Phone Number
DIETARY NEEDS: If you require any dietary accommodations, list them here:
REASONABLE ACCOMMODATIONS: If you require a reasonable physical accommodation in order to participate, provide here:
CONFERENCE BUDDY PROGRAM: We encourage both newcomers and returning attendees to participate in our Conference Buddy program. Please Select Yes: I am a newcomer and would like to have a buddy. Yes: I have attended the conference before and would like to have a newcomer buddy. Yes: I have attended the conference before and would like to have a newcomer buddy. No: Thank you.
CONSENT TO THE USE OF REGISTRANT'S INFORMATION: I understand that by participating in this IAA event, I consent to sharing my name, title, email address and firm name with IAA partners. I understand that the IAA will not be responsible for or in control of the IAA partners’ use of this data, which will be used for their own purposes and subject to their privacy policies. RESIDENCY: I am a resident of or located in Canada, the European Economic Area or the United Kingdom. ENTER BIO (Please write in third person): Each speaker’s biography will be posted on the speakers’ page of the conference website and may be used in marketing emails and in print and digital materials. If you have not already, please enter a current biography of 100-110 words, or email directly to our Marketing Team at marcomm@investmentadviser.org.
CONFERENCE ATTENDANCE: I will attend... Choose a THURSDAY MORNING Breakout Session: Select One Breakout 1: Electronic Communications: Use of Personal Devices and Off-Channel Messaging Apps Breakout 2: Considerations for Advisers with Retail Clients, including Senior and Diminished Capacity Investors Breakout 3: Registered Investment Company Updates I will not attend a Thursday morning breakout session
Choose a THURSDAY AFTERNOON Breakout Session: Select One Breakout 1: Outsourcing: Vendor Oversight and Due Diligence Breakout 2: SEC Enforcement Landscape: Lessons and Trends for Advisers Breakout 3: Retail Alternative Investment Products I will not attend a Thursday afternoon breakout session
Choose a FRIDAY MORNING Breakout Session: Please select Breakout 1: Marketing Rule: Compliance Best Practices and Lessons Learned Breakout 2: Processes for Valuation of Client Holdings Breakout 3: Trading Issues for Advisers I will not attend a Friday morning breakout session
Choose a FRIDAY AFTERNOON Breakout Session: Select One Breakout 1: Cybersecurity Program Best Practices Breakout 2: Private Equity Fund Advisers: SEC Examination Hot Topics Breakout 3: Annual Review Practical Tips and Use of Technology (Smaller and Medium Firms) Breakout 4: ERISA/DOL Update: Fiduciary Rule Update: Where are We Now? I will not attend a Friday afternoon breakout session
OPTIONAL GROUP/COMMITTEE MEETINGS, Friday, March 7, 7:30 a.m. (*IAA group/committee members only (email iaaservices@investmentadviser.org to join.) Registration Required. Select One IAA AML/Sanctions Working Group IAA Marketing Implementation Group IAA Private Equity Fund Advisers Committee I am not a group/committee member or I will not attend
SPEAKER CONSENT
Deadline: Friday, Feb. 14
Please review and sign the Speaker Consent Form via this link . The Speaker Consent Form includes the IAA’s recording policy. Individuals who do not agree to the IAA recording policy may not participate as a speaker.
IAA EVENT POLICIES Registration and attendance at, or participation in, IAA events constitutes an agreement by the registrant to comply with IAA events policies .
GUEST ROOM RESERVATIONS Speakers are responsible for making their own hotel arrangements. A block of rooms has been reserved at the Marriott Marquis Washington, DC at a special rate of $369 plus tax per night. Place a reservation by contacting Marriott Reservations at (800) 228-9290 and mention the IAA Compliance Conference to receive the special rate, or reserve a room online . The group rate is available until Wednesday, February 12, or until the room block is filled. Make a room reservation early to ensure group rate availability.
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