Master compliance with greater confidence.
For Investment Advisers
Compliance strategy delivered by experts in the financial services industry.
Proven experience to guide you through regulatory and compliance issues.
For Hedge Fund Managers
Practical solutions to complex compliance and registration questions.
For Investment Companies
Manage compliance issues with greater confidence and confidentiality.
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.
September 24, 2020
1:00 PM - 3:00 PM EDT
Books and Records Requirements for Investment Advisers
COVID-19 Compliance Review Webinar
This webinar outlines the most common pitfalls related to the ongoing pandemic, and provides guidance for assessing your firms’ responses, along with the resiliency of your compliance program.
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.