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The BD/IA Regulator Providing securities regulatory, enforcement and litigation trends for broker-dealers, investment advisers and investment funds

2017 IIA Compliance Workshop – Denver

Posted in Events

Thursday, November 30, 2017
9:15 a.m. – 2:00 p.m. MST

Investment Advisor Association Seminar

Westin Denver Downtown
672 Lawrence Street
Denver, CO 80202

The IAA Compliance Workshops are an excellent opportunity to gain practical insights into challenging legal and regulatory issues facing SEC-registered investment advisers, and to meet compliance and legal professionals at other IAA member firms.

Of Counsel Kelley A. Howes will participate in a panel discussion addressing current regulatory and examination priorities.

For more information, or to register, please click here.