Description:

More than ever, compliance officers need to be thinking about the year ahead and where to focus their efforts. The lead-off Desktop Seminar for 2009 – the NRS Compliance Network – offers you a virtual seat at our investment adviser compliance roundtable. This free, one-hour event features accomplished Chief Compliance Officers and senior NRS Consultants engaged in a timely and incisive dialogue on real-time compliance challenges, trends, and best practices that should be on your radar screen.

Our panel tees up critical issues in the year ahead including:
• Risk assessment and identifying conflicts of interest
• Testing your compliance program
• Safeguarding information
• Personal trading and gifts
• Congressionally mandated regulatory reform


There are no pre-requisites for the one-hour session.