Loading Events
  • This event has passed.

Virtual: Investment Adviser Professional Development Symposium

July 13 – 16, 2021
Register Now

Complete your continuing education needs over 4 days!

Attend our Virtual Investment Adviser Compliance Professional Development Symposium to advance your regulatory knowledge while obtaining valuable continuing education credits.*

This virtual symposium offers 10 of our most popular sessions, including:

  • Cybersecurity
  • New advertising rule
  • Ethics
  • Critical skills
  • Annual reviews
  • Examinations
  • Private funds

Over four days, seasoned legal and compliance industry experts will take you and your peers through 10 educational sessions.

 

attendee comments

This symposium was superbly executed by a fantastic team of knowledgeable trainers.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium

Very informative to the Investment Adviser space and not something readily conducted in the industry, so it offers value.
– NRS Summer 2020 Investment Adviser Core Compliance Program Symposium

 

more details

Interested in the Investment Adviser Certified Compliance Professional (IACCP®) Program Designation or the Investment Adviser Core Compliance Program Certificate of Achievement? Certain sessions from this symposium would satisfy program course requirements.

For more information about these programs, see our Professional Development Lookbook for details.

 

disclosure

*Many of the symposium sessions, including Ethics, are approved CE for other industry designations and professional certifications. See the Continuing Education Credit tab for more information.

The NRS IACCP® and IA Core Compliance Programs are co-sponsored with:

IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

Register Now

Please Note:

If you are currently enrolled in our IACCP® or IA Core Compliance program, you may register for available symposium sessions from your program resource center portal and not the event registration page.

If you are interested in our IACCP® program, or plan on attending all four days of the symposium, please consider enrolling here and not on the event registration page.

DAY 1: Tuesday, July 13
8:15 AM – 8:30 AM (CT) Day 1 Introduction from Kurt Wachholz
8:30 AM – 10:30 AM (CT) Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
10:45 AM – 12:45 PM (CT) Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution
12:45 PM – 1:00 PM (CT) Day 1 Symposium Wrap Up
DAY 2: Wednesday, July 14
8:15 AM – 8:30 AM (CT) Day 2 Introduction from Kurt Wachholz
8:30 AM – 10:30 AM (CT) Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance, and ’34 Act Section 13 Reporting for Investment Advisers
10:45 AM – 12:45 PM (CT) Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers
2:00 PM – 4:00 PM (CT) Ethics for Advisers – Part 1 and 2*
4:00 PM – 4:15 PM (CT) Day 2 Symposium Wrap Up
DAY 3: Thursday, July 15
8:15 AM – 8:30 AM (CT) Day 3 Introduction from Kurt Wachholz
8:30 AM – 10:30 AM (CT) Critical Skills for High-Performance Compliance Professionals
10:45 AM – 12:45 PM (CT) Compliance Programs Rules and Strategies for Managing Your Annual Review
2:00 PM – 4:00 PM (CT) SEC Examination and Enforcement Update for Investment Advisers
4:00 PM – 4:15 PM (CT) Day 3 Symposium Wrap Up
DAY 4: Friday, July 16
8:15 AM – 8:30 AM (CT) Day 4 Introduction from Kurt Wachholz
8:30 AM – 10:30 AM (CT) Books and Records Requirements for Investment Advisers
10:45 AM – 12:45 PM (CT) Private Fund Compliance Considerations
12:45 PM – 1:00 PM (CT) Day 4 Symposium Wrap Up

*Qualifies for ethics credit or other credentials and designations. See our continuing education tab for more information.

Please note that this agenda is subject to change

Coming soon

National Regulatory Services (NRS) conferences, symposia and webinars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, certified financial planners, IACCP® designees and other compliance and legal professionals.

NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an Approved Provider of CPE credits for accountants and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. The State Bar of California recognizes NRS as an approved provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations.

For more information on continuing education or the NRS Financial Hardship Policy,
call 1‐860-435-0200860-435-0200 or email continuinged@nrs-inc.com.

Maximum Recommended credit hours for four-day Symposium:

  • CLE = 20 credits (based on a 60-minute hour)
  • CPE = 20 credits in the Regulatory Ethics field of study (based on a 50-minute hour)
  • CFP = 6 credits (based on a 50-minute hour)
    • ELE: Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers
    • AA2: Books and Records Requirements for Investment Advisers
    • AA6: Compliance Programs Rules and Strategies for Managing Your Annual Review
  • IACCP® = 18 general, 2.0 ethics credits (based on a 50-minute hour)

View the NRS Continuing Education Guide

National Regulatory Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org