MyComplianceOffice to Attend IA Compliance: The Full 360° View


MyComplianceOffice today announced plans to attend and exhibit at IA Watch's IA Compliance: The Full 360° View in Washington, D.C. on Feb 24-26. Staff from MyComplianceOffice will join compliance officers from across the nation to hear SEC officials, industry insiders and regulatory experts impart compliance best practices and timely alerts on coming regulations

During the conference, New OCIE Director Marc Wyatt will deliver the Keynote Address. Wyatt is expected to detail his goals for his staff, what he regards as today's hot compliance topics, and how OCIE's focus areas may impact Chief Compliance Officers in 2016, from recently announced exam priorities to reported plans to hire more than 100 new compliance examiners by October.

Along with many opportunities to network with compliance peers, the agenda for the conference will feature sessions including:

  • Pre-Exam Prep: The CCO's Role in Mobilizing the Troops Before Examiners Arrive
  • During the Exam: Mistakes to Avoid when Examiners are On-Site
  • The Post On-Site Exam Phase: Discover What Remains to be Done
  • Get Ready! Here’s What’s Hot & Other Initiatives Coming from Washington
  • Meet Your Regulator: SEC Investment Management Assistant Director Dan Kahl
  • Advertising & Marketing: How to Avoid Hot Water
  • CCO Liability: Do You Know Your Vulnerabilities?
  • Achieving AML Success in Light of FinCEN’s Coming Mandate
  • Ethics, Part 1: The CCO’s Role in Inspiring Ethical Excellence
  • Hear Why Advisers Need to Prepare for the DOL’s Fiduciary Duty Rule
  • Dual-Registrants/Broker-Dealers: FINRA Exam & Enforcement Priorities
  • How to Brace for the Worst; Tips for Sound BCPs
  • New Rules Update: Preparing for New Form ADV and Fund Disclosure Requirements
  • Meet Your Regulator: SEC Enforcement Official Vincente Martinez
  • Your SEC Exam Checklist: Keys to Mastering Your Most Challenging Role

Throughout the event, MyComplianceOffice will be live tweeting, featuring #IAWatch360.

Follow @mycompliance for live updates.

You can catch up on our latest Blog posts, News and Video series

Blog: SEC announces 2016 Exam priorities 

Video: Learn what to expect from SEC examinations in 2016

News: SEC update: SEC seeks to hire 100 new compliance Examiners in 2016