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For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
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For Broker-Dealers
Proven experience to guide you through regulatory and compliance issues.
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For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
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For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
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NRS Fall 2020 Compliance Conference
October 26-29, 2020
Join NRS at our Fall 2020 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
Upcoming Events
Industry Perspectives
Continuing Compliance Challenges from Covid-19
As of this writing (July 1, 2020), it appears that most investment adviser firms have risen to the challenge of keeping their business operating during the first three months of the pandemic.
Disclosing your PPP Loan on Form ADV
Many advisers have applied for and received loans under the Paycheck Protection Program (“PPP”) offered by the federal government to help businesses retain employees and stay afloat during the Covid-19 crisis.
