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.
April 20 – 23, 2020
Join NRS at our Spring 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.
October 31, 2019
1:00 PM - 3:00 PM EDT
Trading Practices, Portfolio Compliance and Related Enforcement Cases
2019 Evolution Revolution Report cites continued record growth
The federally registered investment adviser profession continues to see healthy growth, with record numbers of firms, employment, client demand and increased regulatory assets under management (RAUM) last year according to the 2019 Evolution Revolution Report…
What the SEC Releases Require you do Ahead of Reg BI
View the replay of our recent complimentary webinar, which focuses on and explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes to your compliance program.