 Featured Event |
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Sep
26
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Tuesday1:00 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. This course will also provide guidance on implementing firm-wide ethics policies and procedures that help remind adviser personnel of their obligations to clients and avoid conflicts of interest. Implications of gifts policies and whistleblowers will be examined to highlight the unique characteristics of these potential conflicts of interests.
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Jul
25
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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.
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Aug
3
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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.
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Aug
8
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Tuesday
1:00 PM
- 3:00 PM
(ET)
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Aug
15
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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.
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Aug
22
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Tuesday
1:00 PM
- 3:00 PM
(ET)
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