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August 6 – 8, 2019 - Event

Boston Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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Chicago skyline
July 16 – 18, 2019 - Event

Chicago Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 4 – 6, 2019 - Event

Scottsdale Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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August 8, 2019 - Event

SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
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August 8, 2019 - Event

Critical Skills for High-Performance Compliance Professionals: Closing the Circle

While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging.
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August 8, 2019 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.
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August 7, 2019 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. Course Description: Compliance professionals must be ever mindful of the ongoing mandates embodied in Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act to maintain, review, test and modify written compliance policies and […]
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August 7, 2019 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.
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August 7, 2019 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. Course Description: In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by operation of law. […]
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August 6, 2019 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. Course Description: The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of […]
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