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Chicago Investment Adviser Compliance Symposium

July 16 – 18, 2019
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Chicago Investment Adviser Compliance Symposium 2019
July 16-18, 2019

Venue:

The University of Chicago Booth School of Business—Gleacher Center
450 North Cityfront Plaza Drive
Chicago, IL 60611-4316
http://www.gleachercenter.com

A Solid Foundation in the Investment Advisers Act of 1940

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. Instructors will detail certain Advisers Act’s key sections, Form ADV and performance and advertising, and will share insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. On day 3, courses are designed to give participants added opportunities to appreciate the nuances of the compliance profession through group discussions and interactive elements that highlight professional ethics, soft skills most useful in the compliance profession, and SEC examination and enforcement trends.

The NRS IACCP and Core Programs are co-sponsored by:

IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

DAY 1: Tuesday, July 16

7:30 AM – 8:15 AM (CT)
Registration and Continental Breakfast

8:15 AM – 8:30 AM (CT)
Welcome and Introduction

8:30 AM – 10:30 AM (CT)
Form ADV Part 1: Annual Updating Amendment and More

10:45 AM–12:45 PM (CT)
Form ADV Part 2: Identifying and Disclosing Conflicts

12:45 PM – 2:00 PM (CT)
Lunch provided by NRS

2:00 PM – 4:00 PM (CT)
Investment Adviser Performance and Advertising

4:00 PM – 4:15 PM (CT)
Day’s Wrap

DAY 2: Wednesday, July 17

7:30 AM – 8:15 AM (CT)
Registration and Continental Breakfast

8:15 AM – 8:30 AM (CT)
Welcome and Introduction

8:30 AM – 10:30 AM (CT)
Trading Practices, Portfolio Compliance and Related Enforcement Cases

10:45 AM–12:45 PM (CT)
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

12:45 PM – 2:00 PM (CT)
Lunch provided by NRS

2:00 PM – 4:00 PM (CT)
Two Trading Compliance Challenges: Valuation and Trade Errors

4:00 PM – 4:15 PM (CT)
Day’s Wrap

DAY 3: Thursday, July 18

7:30 AM – 8:15 AM (CT)
Registration and Continental Breakfast

8:15 AM – 8:30 AM (CT)
Welcome and Introduction

8:30 AM – 10:30 AM (CT)
Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit

10:45 AM–12:45 PM (CT)
Critical Skills for High-Performance Compliance Professionals

12:45 PM – 2:00 PM (CT)
Lunch provided by NRS

2:00 PM – 4:00 PM (CT)
SEC Examination and Enforcement Update for Investment Advisers

4:00 PM – 4:15 PM (CT)
Day’s Wrap

Coming Soon.

To Be Announced.

National Regulatory Services (NRS) conferences and seminars 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 three-day Symposium:

CLE = 18 credits (based on a 60 – minute hour)
CPE = 18 credits in the Regulatory Ethics field of study (based on a 50 – minute hour)
CFP = pending approval (based on a 50 – minute hour)
IACCP = 18 general 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