 Featured Event |
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Jun
6
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Tuesday - Thursday 8:00 AM - 4:00 PM(PT)
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. On days 1 and 2, instructors will detail each of the Advisers Act’s key sections, sharing insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. On day 3, courses are designed to give participants added opportunities to appreciate the nuances of the compliance profession through group discussions and interactive elements that highlight professional ethics, performance and advertising, and soft skills most useful in the compliance profession.
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Feb
14
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Tuesday
1:00 PM
- 3:00 PM
(ET)
In October 2013, the North American Securities Administrator Association (NASAA) issued a report based upon examinations of 1,130 state level investment advisers. The examinations found 6,482 deficiencies in 20 categories that included books and records, financials, privacy, advertising, and supervisory/compliance, to name a few. NASAA’s Coordinated Exams Program is a biennial initiative conducted to identify common investment adviser deficiencies.
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Feb
28
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Tuesday
1:00 PM
- 3:00 PM
(ET)
The ongoing surge of insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course.
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Mar
16
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Thursday
1:00 PM
- 3:00 PM
(ET)
Speaker - John Van Der Wal: Consultant, NRS
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Mar
21
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Tuesday
1:00 PM
- 3:00 PM
(ET)
Speakers - c. Sandra Stevenson: Senior Consultant, NRS | Rob Stirling: Executive Consultant, NRS
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Apr
6
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Thursday
1:00 PM
- 3:00 PM
(ET)
Speakers: Tammy Patel: Senior Consultant, NRS | Lawrence Stadulis: Partner, Stradley Ronon Stevens & Young LLP
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