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NRS Fall 2018 Compliance Conference

November 5 – 8, 2018
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This conference has passed. Please visit our Fall 2019 Compliance Conference page for details on our upcoming conference.

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 compliance conferences are instrumental in this process. Knowledgeable speakers are willing to share their expertise and always have with take- aways and a to do list. I make it a priority to attend at least one NRS conference each year! - NRS Spring 2018 Conference Attendee

NRS provides a class-act conference geared towards arming the compliance professional with tools and resources. - NRS Spring 2018 Conference Attendee

The NRS Compliance Conference was filled with the latest information available and gave very good ideas about writing policies, implementing rules and taking that information to educate employees of the firm. - NRS Spring 2018 Conference Attendee

who attends

Conference attendees have included:

  • Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers
  • Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisors / Attorneys
  • Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers
  • Financial Planners / Operations Managers / Traders / Financial Service Professionals

hotel information

Park Hyatt Aviara Resort
7100 Aviara Resort
Carlsbad, CA 92011
Tel: 760-448-1234

Sitting on Southern California’s sun-drenched Pacific Coast, Park Hyatt Aviara Resort Golf Club & Spa is a study in quiet luxury. Our Forbes Five-Star and AAA Five-Diamond resort lies on the north shore of Batiquitos Lagoon, a vast protected wildlife sanctuary and an enclave of natural beauty. From atop the highest ridge, overlooking the ocean and the lagoon, the San Diego resort provides a respite from the ordinary. Secluded amid 200 acres of verdant hillsides and rolling valleys, our San Diego luxury hotel and resort provides an appealing setting for guests. The resort’s Spanish colonial architecture welcomes with a sense of casual elegance. Each of the spacious guest rooms features a private balcony or landscaped terrace offering magnificent views. Resort amenities include acclaimed dining, a full-service spa, swimming, tennis, a fitness center and an Arnold Palmer designed 18-hole championship golf course.

Nearest Major International Airport: San Diego International Airport (SAN)

agenda sessions

  • Perspective from the Regulators *
  • Elder Financial Exploitation and Compliance Considerations *
  • Closing the Circle in Advertising, Contracts, Disclosures, and Procedures
  • Recent Trends in Investment Adviser Enforcement Proceedings *
  • Professional Ethics: Ethical Decision-Making for Compliance Professionals
  • Large-Scale Natural Disasters – Should you Plan for the Unprecedented? *
  • Critical Skills for High-Performance Compliance Professionals
  • Compliance Considerations related to BlockChain and Cryptocurrencies *
  • Cybersecurity Testing Tools *
  • GDPR Essentials Post Compliance Deadline *
  • Regulatory and Examination Review on Cybersecurity *
  • Cybersecurity from a CISO Viewpoint
  • SEC Proposed Best Interest Rule – Where are we now? *

*Provides CFP Credit.

View full agenda, for additional agenda topics, and session descriptions

pre-conference topics

  • Pre-Con A – New to Investment Adviser Compliance
  • Pre-Con B – Women in Securities Compliance

View full agenda, for additional agenda topics, and session descriptions


  • Karen Aavik: Senior Vice President / Director – Corporate and Wholesale Practices, KeyBank, N.A.
  • Drew Ahrens: Consultant, NRS
  • Scott W. Bauguess: Deputy Chief Economist and Deputy Director, Division of Economic and Risk Analysis, US Securities & Exchange Commission
  • Bryan Bennett: Associate Regional Director, Examinations US Securities & Exchange Commission
  • Joseph Borg: Director Alabama Securities Commission
  • Matt Chittle: Senior Director of Products, NRS
  • Mederic Daigneault: Senior Director, Consulting Operations, NRS
  • Victor Frye: Chief Compliance Officer, Proshares
  • Matthew J. Fitzgerald: Chief Compliance Officer, PGIM Fixed Income
  • Marco Fuentes: Chief Compliance Officer, J.W. Cole Financial Inc. and J.W. Cole Advisers
  • John Gebauer: President, NRS
  • Trevor J. Hicks: Director of Technology, Wetherby Asset Management
  • Elizabeth M. Knoblock: Managing Member, Elizabeth M. Knoblock, PLLC
  • Sean Kreiger: Chief Compliance Officer, Jackson Square Partners, LLC
  • Donald K. Lopezi: Senior Vice President and Regional Director, Sales Practice, FINRA
  • David H. Lui: Co-Editor, Volume I and II, Modern Compliance
  • James G. Lundy: Partner, Drinker Biddle & Reath LLP
  • Ismael Manzanares: Senior Director – Consulting, NRS
  • Marilyn Miles: Vice President, Consulting and Education, NRS
  • Richard D. Marshall: Partner, Katten Muchin Rosenman LLP
  • Larry Nakamura: Senior Consultant, NRS
  • William Alan Nelson, J.D., LL.M.: Chief Compliance Officer and Deputy General Counsel, Mercer Advisors
  • Brendan Roberts: Consultant, NRS
  • David Solander: Counsel, Goodwin Procter LLP
  • Lawrence P. Stadulis: Co-Chair, Fiduciary Governance, Stradley, Ronon, Stevens & Young, LLP
  • Robert Stirling: Executive Director, NRS
  • Amber Tatman: Consultant, NRS
  • Kurt Wachholz: Executive Director, NRS
  • John Van Der Wal: Consultant, NRS
  • John H. Walsh: Partner, Eversheds Sutherland (US), LLP

View full agenda, for additional agenda topics, and session descriptions

fall 2018 exhibitors and sponsors


exhibitor opportunities

To keep up with today’s compliance issues, cybersecurity threats, record retention, and SEC, state & FINRA examinations to name a few, compliance staff realize they need assistance and are interested in partnering with industry service providers. Does your company have a technology, insurance, document storing/shredding or other resource service that would assist people working in compliance? If so, exhibiting at the NRS Fall 2018 Compliance Conference is a perfect opportunities to get in front of hundreds of potential clients and showcase your products or services to the NRS audience.

NRS Conference attendees are investment advisers, broker-dealers, compliance and legal professionals, traders and within financial services. Many of these professionals have decision-making responsibilities for services and products their companies buy and use.

Advantages as an Exhibitor:

  • Address attendees from podium about your company
  • Demonstrate your products & services during breakfasts, breaks and meet & greet function
  • Networking opportunities held in the exhibit area
  • Gain name & brand recognition throughout the conference via entitlements
  • Access to compliance officers & other senior executives

Interested in being one of these partners? Email info@nrs-inc.com or call (860) 435-0200 today for pricing and more information.

brand exposure and sponsorship opportunities

NRS understands companies are looking for distinctive ways to get their brand in the minds and hands of audiences. We have designed opportunities to do just that at the NRS Fall 2018 Compliance Conference with two type of opportunities: Brand Exposures & Sponsorships.

  • Brand Exposure Opportunities: Custom Banner Ad with Link to Company Website on Conference App, Open House – 20 Minute Product Demonstration or Service Presentation by Company Representatives or Company Marketing Literature Placements: Seat Drops, Insert in Conference Bag or Inclusion on Food Stations.
  • Traditional Sponsorships with Additional Entitlements: Conference bags, Lanyards, Evening Receptions, Luncheons and more.

Your brand in the hands & minds of hundreds of potential clients.

Email info@nrs-inc.com or call (860) 435-0200 today for pricing and more information.

National Regulatory Services (NRS) conferences are designed to meet criteria for continuing education credits for compliance professionals, CPAs/accountants, attorneys and other professionals.

NRS is an approved provider of continuing education programs for the NRS Investment Adviser Certified Compliance Professionals® (IACCP®).

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 CE Quality Partner and 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 MCLE credits for attorneys.

Many of NRS’ conferences may qualify for Firm Element Continuing Education Credit. Please check your firm’s guidelines or contact continuinged@nrs-inc.com.

Fall 2018 Compliance Conference – Maximum Recommended Credit Hours

Pre-Conference Workshop A: New to Investment Adviser Compliance
CA MCLE = 2.0 (based on a 60-minute hour)
IACCP = 2.0 general (based on a 50-minute hour)
CPE = 2.0 in the Regulatory Ethics field of study (based on a 50-minute hour)

Pre-Conference Workshop B: Women in Securities Compliance
Maximum Recommended Credit Hours
CA MCLE = 2.0 (based on a 60-minute hour)
IACCP = 2.0 general (based on a 50-minute hour)
CPE = 2.0 in the Regulatory Ethics field of study (based on a 50-minute hour)

Main Conference
CA MCLE = 17.0 (based on a 60-minute hour)
CFP = 13.0 (based on a 50-minute hour – look for the * next to the session on the Agenda and Speakers tab for sessions that qualify.)
IACCP = 18.0 general, 2.0 ethics (based on a 50-minute hour)
CPE = 20.5 in the Regulatory Ethics field of study (based on a 50-minute hour)


National Regulatory Services (NRS) 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 the final authority on the acceptance of individual course for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.