Partner Gretchen Passe Roin will moderate the session, “Ethics for Advisers: Compliance with Fiduciary Standards – Part 1,” taking place on Thursday, March 3 from 8–9 a.m. ET. This session will explore adviser’s code of ethics, which reflects its fiduciary obligation to its clients. Speakers will discuss codes of ethics, related policy issues and scenarios, and best practices for monitoring, testing, administering, and enforcing these policies.
The IAA’s Compliance Conference is a comprehensive, two-day, in-person program that provides investment advisers with the most current information available on the changing regulatory landscape. The program features speakers who are experts in their fields, including SEC officials, in-house legal counsel and compliance officers, partners with leading law firms, and the IAA legal team. Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program.