ComplianceMAX and FIRE Continuing Education Business to be Acquired by RegEd.
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.
May 17-20, 2021
Join NRS Spring 2021 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.
January 21, 2021
1:00 PM - 3:00 PM EST
Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers
SEC Division of Examinations Will Conduct More Focused Reg BI Examinations Beginning January 2021
Almost six months since Regulation Best Interest’s compliance date, the Division of Examinations (“Division”) (formerly the “OCIE”) announced its intent to begin conducting more focused examinations for compliance with Reg. BI in January 2021.
2020 Evolution Revolution Report
With the Investment Adviser Industry continuing to see record growth in 2020, this Evolution Revolution Report provides a preview for the future growth and recovery of an industry that is vital for investors, the economy and capital markets.