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Investment Adviser Certified Compliance Professional Program Symposium 2020 – Mid-West

July 14 – 16, 2020
Register Now
Gain a solid foundation in Investment Adviser Compliance and complete requirements for your IACCP® Designation

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 Central IA Compliance Symposium provides interactive compliance education led by seasoned legal and compliance industry experts.

Over 3 days, sessions will cover certain trading regulations and mandates beyond the Advisers Act, along with insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. Sessions 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.

Upon completion of the symposium courses, compliance professionals enrolled in the IACCP® program have the opportunity to finish course requirements and sit for the final exam to earn the designation.*

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

IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

*This assumes candidates have completed the first half of the program through live webinars or through attending one of the IA Core Compliance Symposia.

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

Hotel:
Sheraton Grand Chicago
301 East North Water Street
Chicago, Il 60611

To make a room reservation, please click here to book online or call 1-312-464-1000.

DAY 1: Tuesday, July 14

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

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

8:30 AM – 10:30 AM (PT)
Investment Adviser Performance and Advertising

10:45 AM–12:45 PM (PT)
Trading Practices, Portfolio Compliance & Related Enforcement Cases

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

1:45 PM – 3:45 PM (PT)
Trading Compliance: Best Execution, Soft Dollars & Directed Brokerage

4:00 PM – 5:00 PM (PT)
Two Trading Compliance Challenges: Trade Errors & Valuation: Part 1

DAY 2: Wednesday, July 15

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

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

8:30 AM – 10:30 AM (PT)
Critical Skills for High-Performance Compliance Professionals

10:45 AM–12:45 PM (PT)
Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA & ’34 Act Section 13 Reporting for Investment Advisers

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

1:45 PM – 3:45 PM (PT)
Data Protection: Privacy, Identity Theft & Cybersecurity

4:00 PM – 5:00 PM (PT)
Two Trading Compliance Challenges: Trade Errors & Valuation: Part 2

DAY 3: Thursday, July 15

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

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

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

10:45 AM–12:45 PM (PT)
Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning & More

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

2:00 PM – 4:00 PM (PT)
SEC Examination & Enforcement Update for Investment Advisers

4:00 PM – 5:00 PM (PT)
Wrap-up

*Agenda subject to change

Coming Soon!

Chicago Investment Adviser Compliance Symposium
July 14-16, 2020 at:
The University of Chicago Booth School of Business—Gleacher Center
450 North Cityfront Plaza Drive
Chicago, IL 60611-4316
Gleacher Center Website/Map & Directions

Hotel:
Sheraton Grand Chicago
301 East North Water Street
Chicago, Il 60611

The University of Chicago Booth School of Business (Gleacher Center) and Sheraton Grand Chicago is located in the beating heart of the bustling downtown district. On breaks you can enjoy striking views of the lake, river and cityscape, while in the evenings, you will appreciate the River North location near Michigan Avenue, Millennium Park, Magnificent Mile and Navy Pier.

NRS has secured a special discounted group room rate of $250.00 plus tax/per night for the dates of July 11-17, 2020. Group rate will be available until sold out or Saturday, June 13, 2020.

To make a room reservation, please click here to book online or call 1-312-464-1000.

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 1‐860-435-0200 or email continuinged@nrs-inc.com.

Maximum Recommended credit hours for three-day Symposium:

CLE = Details to follow
CPE = Details to follow
CFP = Details to follow
IACCP = Details to follow

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