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What to Know About IA Compliance: The Full 360° View West

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This year, Core Compliance & Legal Services, Inc., in conjunction with IA Watch, is hosting a one day event featuring several Jacko Law Group, PC team members. It's fast approaching, taking place November 2, 2017, in Los Angeles.

If you're on the west coast, this conference is well worth the trip.

This conference is a full 8-hour day that's packed with informative talks, interactive panels, and hands-on workshops that will enable you to take actionable items back to your office.

The Essentials, at a Glance:

The simple information about where it is and CLE/CPE credits:

Location: The Los Angeles Athletic Club, 431 West 7th Street, Los Angeles, CA 90014. For directions, click or tap the button below. 

Click Here for Directions

  • Credits: Pre-approved for 7.5 CLE/CPE Credits.
  • Program Level: Intermediate
  • Prerequisites: None
  • Delivery Method: live

Who Should Attend?

This conference is best suited for those who are either directly responsible for, or directly impacted by, changes and trends in the regulations for the financial industry. This typically encompasses Chief Compliance Officers, Chief Risk Officers, CEOs, and Principals/Presidents of small to large size companies.

The larger your business, the more likely you should include your compliance staff in the conference, as they stand to gain valuable experience from the speakers. Don't forget that attending the conference counts for 7.5 CLE/CPE credits - why not stay up to date on industry trends and best practices while also meeting your continuing education requirements?

General counsel and outside counsel for enterprise companies also should consider attending as a way to stay relevant and informed about current compliance best practices and regulatory trends. The networking opportunities, and practical benefits from attending are significant. 

The Speakers and Agenda

There will be a diverse collection of speakers, including the industry leading CEOs, CCOs, and Partners at firms from all over the US.

The event kicks off with a keynote address from Michele Wein Layne, the Regional Director of SEC's Los Angeles Office. She has been the director of the LA regional office since 2012, and has lead numerous high-profile and significant cases involving financial reporting and accounting misconduct, subprime lending, stock options back dating, and more. Her keynote will discuss the priorities she's currently pursuing for the L.A. regional office, as well as the trends they have been seeing nationwide.

Key team members from Jacko Law Group, PC will be participating in several panels, with our Managing Partner and CEO, Michelle L. Jacko, moderating.

Hear from Bob Conca, Partner at Jacko Law Group at the 9:00 am session, where he'll be discussing New Form ADV Disclosures: What's Changed and How to Prepare. The new form changes went into effect on October 1, so it's essential that moving forward, your forms ADV take into account the additional information.

You can also hear from Dave Sobel, FINRA Specialist, discuss the complex and difficult topic of Handling Aging Client Issues. He'll be part of a panel reviewing a case study about the topic, discussing how to communicate with clients about these issues, establishing emergency "trusted" contacts early on in the professional relationship, what to do when you detect diminished capacity, as well as detecting and handling the financial exploitation of elderly clients.

Other members of our team, including Michelle Jacko, will be presenting in the afternoon on Expectations for Performing Due Diligence and How to Write Effective, Compliant Disclosures. It will be a valuable exercise with practical applications you can take back to your home office and begin using immediately.

Location, Location, Location.

If you don't make the cutoff date for a hotel stay at the Los Angeles Athletic Club (learn more about that by clicking here), there's other nearby options for those traveling from out of town.

Within a 4 block radius, you can also book rooms at:

· The Standard, Downtown LA

· Sheraton Grand Los Angeles

· Millennium Biltmore Hotel Los Angeles

The nearest Hilton Hotel, if you're a member of the Hilton Honors club, is the Hilton Checkers, Los Angeles.

If you're flying in and staying an extra day or two, there's some worthwhile sights to see around the event as well.

Within a 5 mile radius, you can visit the Los Angeles Theatre, Globe Theatre, the Los Angeles Theatre Center, as well as the Regent Theater DTLA.

Not your cup of tea?

Visit one of the half dozen art museums (also in a 5 mile radius), or the parks nearby.

The Los Angeles Athletic Club is also extremely close to numerous fine dining and lounges, some of the more memorable including Seven Grand, a retro style whiskey bar, along with Perch, a French bistro on the rooftop of an LA skyscraper.

Want to Attend? Ask us how you can get an exclusive discount on the cost of admission.

The IA Watch conference is only a few short weeks away, but we can still give you a $250 discount off the normal ticket price to attend the conference.

If you're interested in attending, click below to get the code to apply to your ticket and learn more.

Click Here for Details

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