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East Coast Investment Adviser Core Compliance Program Symposium

August 4 – 6, 2020
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Gain a solid foundation in the Investment Advisers Act of 1940 and obtain your IA Core Compliance Certificate in 3 days

Designed for professionals new to the industry as well as those wanting to solidify their knowledge of the Investment Advisers Act and key requirements, the East IA Compliance Symposium provides interactive compliance education led by seasoned legal and compliance industry experts.

Instructors will take you through 10 sessions over three days covering key sections of the Advisers Act ranging from Form ADV to understanding Fiduciary Duties to reinforce your compliance knowledge and strengthen your compliance program. At the end of day 3, attendees who are also enrolled in the IA Core Compliance Program who have completed all the program requirements will receive their Certificate of Achievement.

Save When You Attend Multiple Days

The IACCP® and IA Core Compliance Programs are co-sponsored by:
IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

Register Now

DAY 1: August 4

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

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

8:30 AM – 10:30 AM (ET)
Introduction to the Advisers Act:  Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

10:45 AM–12:45 PM (ET)
Books and Records Requirements for Investment Advisers

12:45 PM – 1:45 PM (ET)
Lunch provided by NRS

1:45 PM – 3:45 PM (ET)
Investment Adviser Codes of Ethics: The Rule Plus Implications of Whistleblowers

4:00 PM – 5:00 PM (ET)
Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 1

DAY 2: Wednesday, August 5

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

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

8:30 AM – 10:30 AM (ET)
Professional Ethics: Ethical Decision-Making for Compliance Professionals

10:45 AM – 12:45 PM (ET)
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

12:45 PM – 1:45 PM (ET)
Lunch provided by NRS

1:45 PM – 3:45 PM (ET)
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors & Proxy Voting Requirements

4:00 PM – 5:00 PM (ET)
Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 2

DAY 3: Thursday, August 6

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

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

8:30 AM – 10:30 AM (ET)
Compliance Programs Rules & Strategies for Managing Your Annual Review

10:45 AM – 12:45 PM (ET)
Form ADV Part 1: Annual Updating Amendment & More

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

2:00 PM – 4:00 PM (ET)
Form ADV Part 2 & 3: Identifying & Disclosing Conflicts

4:00 PM – 5:00 PM (ET)
IA Core Compliance Program – Wrap-up

Coming Soon

The East Coast Symposium courses are being held at:

Hyatt Regency Jersey City
2 Exchange Place,
Jersey City, NJ 07302

The excitement of New York City is just one train stop away, but the riverfront location gives you the serenity and space to breathe so that here, anything is possible. The authentic charms of Jersey City await your discovery, from the Hudson River Waterfront to the 50+ restaurants and cafes on Grove Street, just a short walk away. Last but not least, the hotel is easy to access by road, air, train and ferry.

NRS has secured a special discounted group room rate of $269.00 plus tax/per night for the dates of August 3-5, 2020. Group rate will be available until sold out or Wednesday, July 15, 2020.

To make a room reservation, please click here to book online or call (888) 591-1234 and mention the group code: G-NRSI.

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 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