NRS Partnership Program Tiers
The NRS Partnership Program tiers provide you with: tried and tested technology Through your subscription, you will receive access to ComplianceGuardian™ and its suite of modules that will help you maintain your compliance program, helping you with everything from your policies and procedures to your Form ADV filings. Find out more about how ComplianceGuardian™ can […]
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October 26, 2021 - Event
Coping with Implementing the new Marketing Rule and Managing Annual Reviews using NRS ComplianceGuardian™ (IA/BD)
Our product team will review the new addition to ComplianceGuardian™ to support your new Marketing Rule requirements and show you what is planned to support your annual compliance review efforts. We will be on hand to answer any questions you have and to learn from you about what you need. Join this session to speak […]
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NRS Fall 2021 Compliance Conference
Health & Safety Protocols Q & A The Park Hyatt Aviara is adhering to the San Diego County Guidelines. Since June 15, 2021, there have been no event restrictions regarding COVID-19 in place for events under 1,000 individuals. Masks indoors are suggested for our guests, but not required. As an added layer of protection and […]
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ComplianceGuardian™
Please provide contact information and an NRS representative will reach out to you within 24-48 hours.
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NRS Fall 2021 Compliance Conference
Health and Safety Information Guidelines Updated October 8, 2021 View our Health and Safety Protocols FAQ here. NRS is excited to welcome you to our Fall Conference, to be held in-person on October 26-28, 2021 at the Park Hyatt Aviara in Carlsbad, CA. Your health and safety remain our top priority. We are working closely […]
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September 16 2021 - Resource
Complimentary Webinar: Things to consider prior to adopting the new Marketing Rule
Watch this complimentary webinar which provides an overview on things to consider prior to adopting the new Marketing Rule.
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September 15, 2021 - Event
Complimentary Webinar: Things to consider prior to adopting the new Marketing Rule
This complimentary webinar provides an overview on areas to focus on now, preparing for the SEC examiners and what to do during the exam.
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Complimentary Webinar: Things to consider prior to adopting the new Marketing Rule
September 15, 2021 – 1:00 PM – 1:45 PM EDT With the SEC requiring wholesale adoption of all elements of the new Marketing Rule, advisers should consider the following areas in preparation for early or Compliance Date adoption: Construction of marketed performance composites Any marketing materials containing gross performance without net performance Required disclosures for […]
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October 26, 2021 - Event
Transitioning to the New Advertising Rule
This session will review the revolutionary changes and identify and discuss possible approaches firms may take to address them in their policies and procedures.
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October 27, 2021 - Event
Recent Trends in Investment Adviser Enforcement Proceedings (IA) (Intermediate)
Course Description: Perhaps our most popular session! Our panelists provide fresh, witty, and candid insight on key cases while explaining how these cases apply to your firm. The panel will also consider whether recent cases represent new enforcement trends and whether the current cases suggest new or different directions in the SEC’s thinking. This is […]
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