Insights & News

IAA Investment Adviser Compliance Conference:
Compliance Testing and Use of Technology

March 14, 2023
11:15 a.m. - 12:15 p.m. ET

Marriott Marquis Washington, D.C.
901 Massachusetts Ave NW
Washington, District of Columbia 20001

As the use of technology in the investment process and compliance continues to surge, compliance officers need tools to oversee, monitor, and test compliance in an ever-growing number of areas. The panel will discuss how firms use technology for compliance testing and monitoring and how to keep your compliance testing innovative, adaptable, and relevant.

Alan Goldberg, Partner, Stradley Ronon Stevens & Young, LLP

Drew Bowden, Chief Operating Officer, Western Asset Management
Wei Zhao, Chief Compliance Officer, Fiera Capital, Inc.

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