November 5 – 8, 2018
Come to Carlsbad, as the locals call it “The Village by the Sea”, for compliance education and peer interaction. Join NRS at our Fall 2018 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs. attendee comments I depend upon my partners in compliance, NRS, to keep me informed + updated on rule changes from myriad regulatory entities. Their Spring and Fall…Find out more
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November 8, 2018 - Event
Critical Skills for High-Performance Compliance Professionals
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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