August 15 – 18, 2022 - Event

Investment Adviser Core Compliance Program Symposium

Attend our Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
Find out more
June 14 – 17, 2022 - Event

Virtual: Investment Adviser Core Compliance Program Symposium

Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
Find out more
June 14 – 17, 2022 - Event

Virtual: Investment Adviser Core Compliance Program Symposium

Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
Find out more
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 […]
Find out more
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 […]
Find out more
October 27, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach (IA) (Intermediate) (Webinar)

Course Description: As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks. While there are rules that require Code of Ethics, and while we can develop procedures to mitigate risks of certain types of unethical behavior, ethical decision-making requires different (and perhaps, antithetical) skills. As firms […]
Find out more
October 26, 2021 - Event

Perspectives from the Regulators (SEC, FINRA, and NASAA) (IA/BD)(Intermediate)

Course Description: Panelists representing the SEC, FINRA and NASAA will share their perspectives on proposed and final rules, current concerns, and areas of focus, what they are seeing as firms begin to reopen following the pandemic, and other issues that can impact your compliance program in 2021, 2022 and beyond. In addition to questions from […]
Find out more
October 28, 2021 - Event

Persistent Compliance Challenges with Mutual Fund Share Classes and Wrap Fee Programs (IA) (Intermediate)

Course Description: With the close of the SEC’s Share Class Selection Disclosure Initiative self-reporting window, they are still finding firms that have failed to disclosure the conflicts associated with share class selection. The SEC recently brought an enforcement case against a dually registered adviser that resulted, among other undertakings, with a $125,000 civil penalty. In […]
Find out more
October 28, 2021 - Event

How Do I Know I Have Done Enough? (IA/BD) (Intermediate)

Course Description: This is the question that keeps compliance professionals up at night. Firms are required to make “reasonable” efforts to prevent and detect compliance violations – but determining what is “reasonable” is an ongoing challenge. The answer to this will determine the nature and scope of a testing program, the depth and breadth of […]
Find out more
October 27, 2021 - Event

ESG Compliance Considerations for Investment Advisers and Private Funds/Equity (IA) (Intermediate)

Course Description: Environmental, social, and corporate governance (ESG) investing is attracting attention from investors and regulators alike. Investment advisers that employ ESG strategies or products must be able to identify the legal, regulatory, and compliance considerations inherent in this investment strategy. This session will address fiduciary duties, ESG data and third party ESG vendors, advertising, […]
Find out more