BUILDING COMPLIANCE PROGRAMS FOR
INVESTMENT ADVISERS
Responding to the new SEC Compliance Program Rule
A Conference for CCOs and Other Compliance Professionals
"NRS always has timely and informative conferences - 1st conference
available on this new rule." Feb. 27th Conference Attendee
August 3, 2004
Crowne Plaza Hotel
New York, NY
September 8, 2004
Hyatt Regency Newport Hotel & Spa
Newport, RI
The recent adoption by the SEC of the Compliance Programs for Investment
Advisers Rule will require Investment Advisers and Investment Companies to
1) adopt and implement compliance policies and procedures, 2) review those
policies and procedures annually, and 3) designate a Chief Compliance
Officer. These requirements will have a far-reaching effect on advisory
compliance. Advisory firms must be compliant by October 5, 2004.
NRS is sponsoring a one-day conference in New York and Newport that will address the implementation
of this new Rule. This conference was created with your
convenience, time and budget in mind. Review the agenda below for the
distinguished speakers assembled for this conference and the practical
nature of the sessions. Register soon to take advantage of the
Early Registration Discount.
