Register now before the early bird rate of $1,031.00 ends on December 31, 2015. Use discount code NRS31.
The NRS Spring Conference - for Investment Advisers and Broker-Dealers, a content-rich program, and peer networking in Miami Beach, FL - is the place for up-to-the-minute news on critical rules, cases and regulatory interpretations.
Save the Date and join us at the NRS Spring Conference where we will provide you with the critical knowledge and skills needed to maximize your resources to develop and maintain a dynamic and flourishing compliance program. Whether you are new to compliance or a seasoned professional, this is the conference for you!
Some of the peers you will meet and share best practice with include:
- Senior Management
- Compliance Officers and Staff
- In-House Counsel
- Operations Managers
- Trading Personnel
- Marketing and Research Staff
- Branch Managers
- Internal Audit Staff
- Private Equity Advisers
The NRS Spring Conference sessions are listed below. New sessions will be added as they are confirmed.
- Cybersecurity Essentials: Understand the risks, critical cybersecurity concepts and regulatory expectations.
- Cybersecurity Workshop: The accompanying workshop will provide small, medium and large firms with an opportunity to take a new look at important considerations and critical controls, which will surface through tabletop exercises and can be promptly applied upon returning to your office to help protect against cyber-attacks and resulting firm liability.
- Compliance Monitoring and Testing: How to plan and conduct effective transactional, periodic and forensic testing of your investment adviser policies and procedures.
- Compliance Testing Workshop: Participants will be guided to develop specific examples of how to test areas of your investment adviser compliance program including trading and best execution procedures.
- Advertising & Marketing: Overview of the regulatory advertising requirements including a spotlight on commonly missed deficiencies.
- Advertising Workshop: Dissect sample advertisements with your peers to uncover and discuss less obvious advertising violations. This hands-on workshop will give you the tools and confidence needed to apply advertising regulations and interpretations to all types of marketing materials.
- SEC & FINRA Exams: Focus on what to expect during an SEC exam, including the never before examined advisers, corrective action exams, exempt reporting adviser exams, as well as other types of risk-based and focused exams.
- SEC Exam Workshop: This accompanying workshop will take you through the SEC exam process, step by step, including a thorough review of the SEC’s standard document request letter, SEC interviews with your firm’s personnel, document review, exit interview and an interactive session on how to respond to any deficiencies found.
- Navigating the Changing Regulatory Landscape: What is ahead for Investment advisers? This session will focus on shifting regulatory requirements in the short term and what they mean for your firm, including the proposed AML amendments for investment advisers, the new fiduciary standard and Form ADV changes.
Eden Roc Miami Beach
4525 Colins Ave, Miami Beach, FL. 33140
Group room rate for conference participants: $269 plus taxes/per night Reservation cutoff date: April 1, 2016. Based on availability, group rates will also be available for 3 days before and after the conference dates
NRS Conference participants should the Passkey reservation system to reserve a room at the group rate. Click this link to use the Passkey system: https://resweb.passkey.com/Resweb.do?mode=welcome_ei_new&eventID=14384759
About the Eden Roc Hotel:
For a half-century, Eden Roc's fabled luxury, glamour and captivating vibe have attracted the world's most iconic scene-setters - Elizabeth Taylor, Humphrey Bogart, Lauren Bacall, Frank Sinatra, Katherine Hepburn, Ernest Hemingway, Sammy Davis, Jr. And now, you.
Originally designed by the trailblazing architect Morris Lapidus, Eden Roc boasts a theatrical architecture that embodies all the glitz of a Hollywood stage set. And fittingly so. In designing the hotel's revered construction, Lapidus first traveled to the elegant Eden Roc in France (a favorite vacation spot for the Kennedys), then toured Europe collecting statues, marble, and Venetian glassware for use in designing the hotel that would later be deemed "a vision of the Italian Renaissance." In 1956, the hotel made its hotly anticipated grand entrance, with its heyday of the ‘50s and ‘60s ultimately earning its reputation as "the Grande Dame of Miami Beach."
Utilizing technology helps you achieve greater compliance efficiency
NRS technology solutions are backed by our experienced team of compliance professionals and designed to help you adopt a culture of compliance in a fast-evolving business environment. NRS offers comprehensive and affordable tools designed to help firms meet their compliance requirements.
At the Technology Showcase, you can speak to NRS product experts about solutions that allow you to proactively manage the increasingly-dynamic regulatory environment. See in-depth product demonstrations or, if you are a current NRS Technology customer, spend time one-on-one gaining first-hand insight on the functionality of products.
Continuing Education Credits
Maximum Recommended Credit Hours:
CLE = pending (based on a 60-minute hour)
CPE = pending in the Regulatory Ethics field of study (based on a 50-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = pending general and pending ethics (Professional Ethics session (based on a 50-minute hour))
NRS conferences and seminars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, compliance professionals, financial planners, IACCP and other professionals. NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an Approved Provider of CPE credits for accountants, and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes NRS as an approved provider of CLE credits for attorneys.
NRS is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.
A full list of CFP-approved sessions will be available on-site.
For more information on continuing education or the NRS Financial Hardship Policy, call 1-860-435-0200 or email email@example.com.