San Francisco Investment Adviser Compliance Symposium 2017
June 6-8, 2017
Venue: TBD – coming soon
A Solid Foundation for a Strong Compliance Program
A working knowledge of fundamental disclosure, trading and examination compliance principles is essential for anyone who works or desires to work in the field of investment adviser compliance.
NRS is offering interactive compliance courses on Disclosure, Trading and SEC Examinations that focuses on an introduction to the Advisers Act, trading aggregation and allocation, best execution, soft dollars, valuation, trade errors, and SEC examination and enforcement trends. Sessions will be led by seasoned legal and compliance industry experts who will detail requirements and share best practice that support you and your firm’s compliance program.
Save When You Attend Multiple Courses
Three individual sessions each day allow you to choose to attend just a few or all six of the topics. Choose three courses on any one day and pay just $630. Simply apply discount code CCP2015 when you register.
Courses meet the requirements to fulfill a portion of the NRS IACCP and Core programs and are also designed to qualify for continuing education credits for most compliance, accounting, legal and financial planning professionals.
The IACCP and Core Programs are co-sponsored by:
Continuing Education Credit Information for Investment Adviser Compliance Symposia.
Sir Francis Drake Hotel
450 Powell St.
San Francisco, CA 94102
Hotel Tel: 1.415.392.7755
Click Here to book or call and mention National Regulatory Services (NRS) to receive the preferred rate of : $274/night. Reservation cutoff date: May 25, 2015
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 two - day Symposium:
CLE = 12 credits (based on a 60 - minute hour)
CPE = 12 credits in the Regulatory Ethics field of study (based on a 50 - minute hour)
CFP = pending approval (based on a 50 - minute hour)
IACCP = 12 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