 Featured Event |
|
Apr
24
|
|
|
Tuesday1:15 PM - 3:15 PM (ET)
Ideally, your firm’s advertisements, contracts, disclosures and supervisory procedures should perfectly mesh. In practice, as these documents are often created by different persons with different sets of goals, and may be updated at different times, there may be points on which they contradict each other. What should you do when you find areas of disagreement among these key documents? In this interactive session panelists and attendees will examine some common (and not-so-common) examples of material discrepancies and review the various steps that may be used to correct them.
|
|
Jul
25
|
Tuesday
- Thursday
8:00 AM
- 4:00 PM
(CT)
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, trading compliance and SEC examination and enforcement trends.
|
|
Aug
3
|
Thursday
1:00 PM
- 3:00 PM
(ET)
Business Continuity Planning (BCP) is an essential component of risk management for financial services firms of all sizes. Required written policies and procedures help ensure the continued operation of the firm when faced with any adverse conditions including weather events, terrorism, information breaches, loss of key personnel or offices, and health crises such as pandemics.
|
|
Aug
8
|
Tuesday
1:00 PM
- 3:00 PM
(ET)
|
|
Aug
15
|
Tuesday
- Thursday
8:00 AM
- 4:00 PM
(ET)
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.
|
|
Aug
22
|
Tuesday
1:00 PM
- 3:00 PM
(ET)
|
|