Boston Investment Adviser Compliance Symposium 2016August 15-17, 2017
Omni Parker House60 School StreetBoston, MA 02108
A Solid Foundation in the Investment Advisers Act of 1940
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.
The IACCP and Core Programs are co-sponsored by:
Continuing Education Credit Information for Investment Adviser Compliance Symposia.
DAY 1: August 15
7:30 AM – 8:15 AM (ET)Registration and Continental Breakfast
8:15 AM – 8:30 AM (ET)Welcome and Introduction
8:30 AM – 10:30 AM (ET)Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
10:45 AM–12:45 PM (ET) Books and Records Requirements for Investment Advisers
12:45 PM – 2:00 PM (ET)Lunch provided by NRS
2:00 PM – 4:00 PM (ET) Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
4:00 PM – 4:15 PM (ET)Day’s Wrap
DAY 2: Wednesday, August 16
8:30 AM – 10:30 AM (ET)Understanding Fiduciary Duties and a Sweep of Anti-Fraud Provisions of the Advisers Act
10:45 AM – 12:45 PM (ET)Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
2:00 PM – 4:00 PM (ET) Compliance Programs Rules and Strategies for Managing Investment Adviser Annual Reviews
DAY 3: Thursday, August 17
8:30 AM – 10:30 AM (ET)Professional Ethics: Ethical Decision-Making for Compliance Professionals
10:45 AM – 12:45 PM (ET)Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
2:00 PM – 4:00 PM (ET) Two Trading Compliance Challenges: Valuation and Trade Errors
Omni Parker House Boston60 School StreetBoston, MA 02108Hotel tel: 1.617.227.8600
Reservations: 1-800-THE-OMNI (843.6664)
Mention National Regulatory Services (NRS) to receive the preferred rate of $249/night Reservation cutoff date: July 24, 2017
Group rates available 3 days pre/post, based on hotel availability.
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