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.
NOVEMBER 5 – 8, 2018
Join us at our Fall 2018 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.
Evolution Revolution 2018
Download our 2018 Evolution Revolution report, which outlines how the investment adviser profession is a strong economic driver as employment, AUM and number of firms hit record highs.
Best Interest Standards and Disclosures
In our NRS Insights Blog, we outline how the SEC has entered the fiduciary standard fray with the release of its much-anticipated fiduciary / best interest proposal on April 18.