For those new to investment adviser compliance, this panel discusses how to get a handle on what is required, the core parts of the compliance program rule under the Advisers Act, what it means to be a fiduciary to clients, the CCO’s role, working with the business side, resources to help you stay informed of regulatory developments, and regulators’ expectations.

This 2019 IAA Investment Adviser Compliance Conference Panel includes:

Claire G. Burke, Chief Compliance Officer, Vanguard Advisers, Inc.

James R. Prescott, Vice President, Compliance, Ariel Investments, LLC

Robert E. Plaze, Partner, Proskauer Rose LLP

Laura L. Grossman, Associate General Counsel, IAA, Moderator