Compliance Events Calendar

NRS Education events provide training on important regulatory tasks, rule changes and industry hot topics. Receive valuable compliance knowledge and insight presented by industry experts. Benefit from the real-world experiences of attorneys, regulators, former regulators and seasoned compliance professionals as they offer tips and best practices for managing the compliance challenges you face daily.

Only $239 per attendee for each seminar. Team Training Discount - additional attendees from the same firm receive a 15% discount.

After the session, all registered attendees will receive a link with complimentary 10-day access to the recording. Please note: CE credit is only available for those who participate during the live seminar; it is not available for those who choose the recording.

52 Events Found Show All

Featured Event
Sep 24	Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers >
	Thursday1:00 PM - 3:00 PM (ET) Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every registered investment adviser firm must adopt codes of ethics that establish standards of conduct and address conflicts that arise from personal trading issues. Many state advisers have also adopted a code of ethics either in response to state mandates or as an industry best practice. Instruction and guidance for this course will focus on identifying the requirements that must be covered in an adviser’s code of ethics and tailoring a code to meet your firm’s business operations and risks. TAGS Core IACCP Testable Content

Feb

State-Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators >

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.

TAGS

Elective

Feb

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts >

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.

TAGS

Core

IACCP

Testable Content

Mar

SEC Examination and Enforcement Update for Investment Advisers >

Thursday 1:00 PM - 3:00 PM (ET)

Speakers: Jonathan Blattmachr: Associate, BakerHostetler LLP | Diostenes Medina: Consultant, NRS

TAGS

Elective

Mar

Understanding Fiduciary Duties and a Sweep of Anti-Fraud Provisions of the Advisers Act >

Tuesday 1:00 PM - 3:00 PM (ET)

In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by operation of law. Section 206 of the Act (generally referred to as the "anti-fraud" provision) makes it unlawful for an investment adviser to engage in fraudulent, deceptive, or manipulative conduct. The general purpose of an investment adviser's fiduciary duty is to eliminate conflicts of interest, and to prevent an adviser from taking unfair advantage of a client's trust.

TAGS

Core

IACCP

Testable Content

Mar

FINRA Priorities 2017 >

Thursday 1:00 PM - 3:00 PM (ET)

Speaker - John Van Der Wal: Consultant, NRS

TAGS

Elective

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Compliance Events Calendar