Industry Perspectives

COVID-19 Compliance Review Webinar

This webinar outlines the most common pitfalls related to the ongoing pandemic, and provides guidance for assessing your firms’ responses, along with the resiliency of your compliance program.

Access the full webinar recording

Continuing Compliance Challenges from Covid-19

As of this writing (July 1, 2020), it appears that most investment adviser firms have risen to the challenge of keeping their business operating during the first three months of the pandemic.

Read more on the NRS Insights Blog