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NRS Fall 2019 Compliance Conference

October 15 – 18, 2019
$1395
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Young Businesswoman at Presentation Conference

Come to Huntington Beach, known as "Surf City USA" for compliance education and peer interaction.

Join NRS at our Fall 2019 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

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Having trouble with registration or registering internationally? Click here

hotel information

Hyatt Regency, Huntington Beach CA
21500 Pacific Coast Hwy
Huntington Beach, CA 92648
Tel: (714) 698-1234

Relax amid Pacific Ocean views and Spanish-inspired architecture while enjoying full-service resort amenities including cabanas and beach activities. Our prime oceanfront location is walking distance to shopping and dining at Pacific City and just 30 minutes to Disneyland® in Anaheim.

group room block

NRS has secured a special discounted group room rate of $265.00 and resort fee of $10.00 plus tax/per night for the dates of October 14 – October 19. Group rate will be available until sold out or September 13, 2019.

To Reserve a Room visit here.

Nearest Major International Airport: John Wayne Airport (SNA), Los Angeles International Airport (LAX)

agenda sessions

Please note that this agenda is subject to change

Tuesday, October 15
1:00 pm – 1:30 pm Registration Open for Pre-Conference Workshop A
1:30 pm – 3:30 pm Pre-Conference Workshop A: Career Development for Compliance Professionals (IA/BD) (Basic)
3:30 pm – 4:00 pm Registration Open for Pre-Conference Workshop B
4:00 pm – 6:00 pm Pre-Conference Workshop B: Developing Effective Compliance Training Programs (IA) (Intermediate)
6:00 pm – 7:30 pm Registration Open for Main Conference
6:00 pm – 7:30 pm Meet & Greet Function
Wednesday, October 16
7:30 am – 5:00 pm Registration Open
7:30 am – 4:45 pm Exhibit Area Open
7:30 am – 8:30 am Breakfast
8:30 am – 8:40 am Welcome Remarks
8:40 am – 9:00 am Keynote Address
9:00 am – 10:00 am Perspective from the Regulators (IA/BD) (Intermediate)
10:00 am – 10:05 am Housekeeping Comments
10:05 am – 10:30 am Meet Exhibitors/ Networking Refreshment Break
10:30 am – 12:30 pm Unpacking and Implementing Reg BI and Form CRS (IA/BD) (Basic)
10:30 am – 11:30 am GIPS update (IA) (Intermediate)
11:30 am – 12:30 pm Private Fund Advertising and Distribution (IA/BD) (Advanced)
12:30 pm – 1:45 pm Lunch / Peer Discussion by Geography
1:45 pm – 3:00 pm Concurrent Breakouts (Instruction & Workshop)
    SEC Examination of Investment Advisers (IA) (Intermediate)
    Conducting Effective Branch Audits (BD/IA) (Intermediate)
    Best Practices in Third-Party Due Diligence and Data Security (BD/IA) (Basic)
3:00 pm – 3:20 pm Visit Exhibitors/Networking Refreshment Break
3:20 pm – 4:30 pm Concurrent Breakouts (Instruction & Workshop)
    Drafting Reg BI Policies and Procedures for Broker-Dealers (Basic)(BD)
    Form ADV Writing Effective Disclosures (IA) (Intermediate)
    Compliance Considerations related to Digital Assets and Blockchain (IA/BD) (Advanced)
5:30 pm – 7:00 pm Reception/NRS Compliance Attendee/Exhibitor Challenge
Thursday, October 17
7:30 am – 5:00 pm Registration Open
7:30 am – 4:45 pm Exhibit Area Open
7:15 am – 8:15 am IACCP Designee Breakfast and Keynote
7:30 am – 8:30 am Breakfast
8:15 am – 8:30 am Opening Remarks/Exhibitors Address
8:30 am – 9:00 am Opening Address
9:00 am – 10:15 am Recent Trends in Investment Adviser Enforcement Proceedings (IA) (Intermediate)
9:00 am – 10:15 am Recent Priorities in Broker Dealer Regulation and Examination (BD) (Intermediate)
9:00 am – 10:15 am Duties of Care under Reg BI for Dual Registrants (IA/BD) (Intermediate)
10:15 am – 10:45 am Meet Exhibitors/Networking Refreshment Break
10:45 am – 12:45 pm Professional Ethics: Ethical Decision-Making for Compliance Professionals (IA/BD) (Advanced)
12:45 pm – 2:00 pm Lunch / Peer Discussion by Firm Type or Regulatory Topic
2:00 pm – 3:00 pm Concurrent Breakouts (Instruction)
    Safeguarding Information: Regulation S-P, Privacy, and GDPR (BD/IA) (Intermediate)
    Creating an Effective Controls and Testing Calendar (BD) (Basic)
    Compliance Considerations for Custody (IA) (Intermediate)
3:00 pm – 3:20 pm Visit Exhibitors/Networking Refreshment Break
3:20 pm – 4:30 pm Concurrent Breakouts (Instruction & Workshop)
    Preparing for Cybersecurity Breaches (IA/BD) Intermediate
    Compliance Considerations for Senior Investors and Financial Exploitation (IA/BD) (Intermediate)
    Adding a New Line of Business (BD) (Intermediate)
5:30 pm – 7:00 pm Reception
Friday, October 18
7:30 am – 2:00 pm Registration Open
7:30 am – 4:45 pm Exhibit Area Open
7:30 am – 8:30 am Breakfast
8:15 am – 8:30 am Opening Address
8:30 am – 9:30 am How Do I Know I Have Done Enough? (IA/BD)(Intermediate)
9:30 am – 9:50 am Meet Exhibitors/Networking Refreshment Break
9:50 am – 11:00 am Drafting Form CRS for Investment Advisers (IA) (Basic)
9:50 am – 11:00 am Drafting Form CRS for Broker-Dealers (BD) (Basic)
9:50 am – 11:00 am Drafting Form CRS for Dual Registrants (IA/BD) (Basic)
11:00 am – 11:30 am Boxed Brunch / Lunch Break
11:30 am – 1:30 pm Critical Skills for High-Performing Compliance Professionals: Marketing and Social Media for Investment Advisers and Broker Dealers (IA/BD) (Basic)
11:30 am – 12:30 pm Compliance Considerations in Firm Succession Planning (IA) (Intermediate)
11:30 am – 12:30 pm Compliance Considerations for AML Programs (BD) (Intermediate)
12:30 pm – 1:30 pm Best Execution and Trading for Investment Advisers (IA) (Intermediate)
12:30 pm – 1:30 pm Best Practices in Registered Representative Oversight (BD) (Intermediate)
1:30 pm – 2:00 pm Prioritizing Action Items/Wrap-up
2:00 pm Conference Adjourns

Please note that this agenda is subject to change

speakers

Coming soon

fall 2019 exhibitors and sponsors

broadridgechicagoclearingmercerpratumstarsheptdameritrade

 

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 2019 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 2019 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.

Maximum Recommended Credit Hours for the NRS Fall 2019 Compliance Conference will include CLE, IACCP, CPE and CFP credits.

Pre-Conference Workshop A: Career Development for Compliance Professionals
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)

Pre-Conference Workshop B: Developing Effective Compliance Training Programs
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
Maximum Recommended Credit Hours
CA MCLE = 15.5 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 16.5 general, 2.0 ethics (based on a 50-minute hour)
CPE = 19.0 in the Regulatory Ethics field of study (based on a 50-minute hour)

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.

CPE

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.