San Francisco Investment Adviser Compliance Symposium 2017June 6-8, 2017
Sir Francis Drake Hotel450 Powell StreetSan Francisco, CA 94102
A Solid Foundation for a Strong Compliance Program
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.
Save When You Attend Multiple Courses Choose three courses on any one day and pay just $630. Simply apply discount code SYM17 when you register.
The IACCP and Core Programs are co-sponsored by:
Continuing Education Credit Information for Investment Adviser Compliance Symposia.
DAY 1: Tuesday, June 6
7:30 AM – 8:15 AM (PT)Registration and Continental Breakfast
8:15 AM – 8:30 AM (PT)Welcome and Introduction
8:30 AM – 10:30 AM (PT)Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
10:45 AM – 12:45 PM (PT)Books and Records Requirements for Investment Advisers
12:45 PM – 2:00 PM (PT)Lunch provided by NRS
2:00 PM – 4:00 PM (PT) Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
4:00 PM – 4:15 PM (PT)Day’s Wrap
DAY 2: Wednesday, June 7
8:30 AM – 10:30 AM (PT) Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
10:45 AM–12:45 PM (PT) Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
2:00 PM – 4:00 PM (PT) Compliance Programs Rules and Strategies for Managing Your Annual Review
DAY 3: Thursday, June 8
8:30 AM – 10:30 AM (PT) Professional Ethics: Ethical Decision-Making for Compliance Professionals
10:45 AM–12:45 PM (PT) Critical Skills for High-Performance Compliance Professionals
2:00 PM – 4:00 PM (PT) SEC Examination and Enforcement Update for IAs
NRS has secured a room block for the nights of June 5-7, 2017 at:
Sir Francis Drake Hotel450 Powell StreetSan Francisco, CA 94102Reservations: 800.227-5480 or 1-800-KIMPTONHotel: 415.392.7755
Mention National Regulatory Services to receive the preferred rate of $239/night. Call or book online at NRS Education 6/5-6/8.
Reservation cutoff date: May 16, 2017. Group rates available three days pre/post, based on hotel availability.
National Regulatory Services (NRS) conferences and seminars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, certified financial planners, IACCP® designees and other compliance and legal professionals.
NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an Approved Provider of CPE credits for accountants and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes NRS as an approved provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations.
For more information on continuing education or the NRS Financial Hardship Policy, call 1‐860-435-0200860-435-0200 or email firstname.lastname@example.org.
Maximum Recommended credit hours for three-day Symposium:
CLE = 18 credits (based on a 60 - minute hour)CPE = 18 credits in the Regulatory Ethics field of study (based on a 50 - minute hour)CFP = pending approval (based on a 50 - minute hour)IACCP = 18 general credits (based on a 50 - minute hour)
View the NRS Continuing Education Guide
National Regulatory Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org
When you sign up for our e-newsletter, you'll be the first to know about the latest events, news, and important articles about regulatory compliance.
RELX Group and the RE symbol are trademarks of Reed Elsevier Properties SA, used under license.