Top 4 Tips for Getting the Most Out of IA Compliance: The Full 360 Degree View West

The first Core Compliance/ IA Watch Conference is taking place this November 2nd, just a few short weeks away.

For conference attendees here on the west coast, IA Watch is a chance to see the major west coast industry leaders, and network closer to home than they’re used to. Those who don’t live within easy driving distance of the conference venue can book a room at the Los Angeles Athletic Club (the hotel the event takes place in), and receive a special discounted rate. Click here for the full details from the IA Watch website.

To get the most out of the conference, here are a few tips from the experienced team here at Core Compliance & Legal Services, Inc, to help you out.

1 – Getting there early is about more than just getting the best selection of bagels from the continental breakfast.

If you’ve booked a room at the hotel, you have an advantage in that you just need to get dressed and walk downstairs to get to the event bright and early. While early arrival is great to be sure you check in on time and doesn’t miss anything, there’s a more valuable reason to be there … 

Access to industry leaders.

All the people who are normally impossible to talk to – regulators, the speakers, the big names who aren’t speaking this time, or the people you’ve wanted to introduce yourself to for ages – those people are all there and easily accessible.

Want a chance to introduce yourself and get some face-to-face time with the SEC’s Los Angeles Regional Director, Michele Wein Layne? This is how you make it happen.

Naturally, not everyone is excited to get up early. But for those who do, the benefits are well worth it. For networking opportunities, being among the first to show up is one of the best ways to get introductions to people otherwise impossible to get ahold of.


2 – If you’re going to be there early enough to network, be sure you’re properly prepared for it.

It could be embarrassing to come face to face with someone you’ve been meaning to connect with for months (or years), and you’re out of the most essential item: your business card!

Simple but essential, create a short checklist of items you’ll need to network effectively. Business cards, as well as pen and paper, are on the top of that list.

There are other small items that can help you with networking, especially as the day goes on.

Breath mints are a favorite, especially after lunch. Some sponsor tables are sure to have treats, and keep an eye out for the Core Compliance table – we’ll have peppermints out for you!

Additionally, take some time to review your LinkedIn profile before you head to the conference. Is your picture up to date?  Are your job title and description accurate? Do you even remember how to log in to LinkedIn? If you haven’t logged in to the network in a while, it can be beneficial to do so prior to the conference. That way, if you do run out of business cards or can’t get one out fast enough, you can connect with the other attendee or speaker through the social media platform.

Not sure of the extent that which you can use social media for business networking while still remaining within compliance guidelines and best practices? Luckily, one of the very first topics – new Form ADV disclosures – includes a section discussing social media for business purposes.

3 – Come prepared with knowledge of your own company’s current policies.

You don’t necessarily need to have your company’s policies, plans, or procedures memorized or on hand, as you walk into the conference, but a deep familiarity is certainly helpful. As each panel reviews specifics, considering your own policies could assist you in asking poignant questions and identifying where you need to be making changes to remain compliant.

4 – What to expect.

With 2017 nearly over, you’ll be provided with new considerations and industry best practices for 2018. The various panelists are going to be telling you specific, actionable information that will be directly relevant to your compliance program for the next year.

When you get back to your office the next day (or week), you’ll walk in with additional knowledge and insights that will allow you to keep ahead of compliance changes that are upcoming. You’ll be prepared for updates, rather than reacting to changes.

Want more information about IA Compliance: The Full 360° View West?

You can learn more about the event at the official IA watch page by clicking here.  If you’d like to attend, please click or tap the button below to talk to our team, and receive a special discount exclusive to the friends and clients of Core Compliance & Legal Services, Inc.

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