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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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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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Virtual: West Coast Investment Adviser Core Compliance Program Symposium
June 2 – 4, 2020
NRS is offering three days of interactive compliance led by seasoned legal and compliance industry experts.
Upcoming Events
Industry Perspectives
Coronavirus Compliance: What Areas Should You Focus On Now
It is said that those who forget the past are condemned to repeat it. Perhaps “condemned” is not the best word choice, given the current circumstances, but past events can and should inform the present. Case in point: the role of compliance during turbulent times.
SEC: No Extension for Reg BI, Form CRS Compliance
SEC Chairman Jay Clayton announced that the Commission will not extend the compliance date for Reg BI and the filing date for Form CRS beyond June 30, 2020 despite the recent social, economic and market turmoil caused by the COVID-19 pandemic.
