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 25-28, 2021
Join NRS at our Fall 2021 Compliance Conference for Investment Advisers and Broker Dealers, where industry experts will address how firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
August 17 – 20, 2021
Virtual: Investment Adviser Certified Compliance Professional Program Symposium
September 9, 2021
1:00 PM - 3:00 PM EDT
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
Investment Adviser Industry Snapshot 2021 – Evolution Revolution Reimagined
Defying the challenges posed by the pandemic, the investment adviser industry continued to experience record-breaking growth with close to 14,000 Security and Exchange Commission (SEC) Registered Investment Advisers (RIAs) managing $110 trillion in assets for 60.8 million clients.
Complimentary Webinar: Practical guidance on SEC focus areas and preparation pointers
Watch this complimentary webinar which provides an overview on SEC focus areas and preparation pointers to ensure your compliance operations stand up to continued SEC scrutiny.