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NRS Fall 2020 Compliance Conference

October 26 – 29, 2020
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Join NRS at our Fall 2020 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

Recent Trends in Investment Adviser Enforcement Proceedings
Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The group’s discussion went very well. – NRS Spring 2019 Conference Attendee

SEC Examinations for IA’s
This session contained incredibly useful information, good experiences, great energy and helpful everyday guidance! – NRS Spring 2019 Conference Attendee

How Do I know I’ve Done Enough
This session brings with it a practical approach to compliance with new and accurate material, great examples, and relevant case studies. – NRS Spring 2019 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

Register Now

Having trouble with registration or registering internationally? Click here


agenda sessions

Please note: All sessions are listed in Central Time (CT) and the agenda is subject to change. Click on the links below to view each session.

Monday, October 26
9:00am – 10:00am Keynote Address: Cybersecurity
10:00am – 10:30am Meet Exhibitors/ Networking Break
10:30am – 11:45am Perspective from the Regulators (IA/BD) (Intermediate) SEC, FINRA, NASAA
11:45am – 12:45pm Meet Exhibitors / Networking Break
12:45pm – 2:00pm
Tuesday, October 27
9:00am – 10:15am
10:15am – 10:45am Meet Exhibitors / Networking Break
10:45am – 12:00pm
12:00pm – 1:15pm Meet Exhibitors / Networking Break
1:15pm – 3:15pm Unpacking the Proposed Advertising and Solicitor Rule (IA) (Advanced)
1:15pm – 2:15pm
2:15pm – 3:15pm
3:15pm – 3:45pm Meet Exhibitors / Networking Break
Wednesday, October 28
9:00am – 10:15am
10:15am – 10:45am Meet Exhibitors / Networking Break
10:45am – 12:00pm
12:00pm – 1:15pm Meet Exhibitors / Networking Break
1:15pm – 3:15pm
3:15pm – 4:45pm Meet Exhibitors / Networking Break
Thursday, October 29
9:00am – 10:00am How Do I Know I Have Done Enough? (IA/BD) (Intermediate)
10:00am – 10:30am Networking and Break
10:30am – 11:45am
11:45am – 12:30pm Meet Exhibitors / Networking Break
12:30pm – 2:30pm
2:30pm – 3:00pm Conference Wrap-Up
Please note that this agenda is subject to change



Amber Tatman


Anne Buckley

Anne Buckley

Saro Partners Co.

Cherie Jolly

Dynamic Wealth Advisors

Chris Arthur

Chief Compliance Officer and Chief Information Security Officer
RDA Financial Network

Christopher Gerold

Christopher Gerold

Bureau Chief, New Jersey Bureau of Securities

David H. Lui

Modern Compliance

Drew Ahrens

Senior Consultant

Elizabeth Knoblock

Managing Member & Owner
Elizabeth M. Knoblock, PLLC

Eric R. Vercauteren

Senior Counsel
Citi Private Bank Legal Department

Genna Garver

Of Counsel, Chair Investment Management Group
Troutman Sanders LLP

Gretchen E. Lee

Chief Compliance Officer
Clifford Swan Investment Counselors

Ish Manzanares

Senior Director, Consulting

Jahan Raissi

Shartsis Friese LLP

John Walsh

Partner, Eversheds Sutherland LLP and
Member, Securities Enforcement and Litigation Team

John Van Der Wal


Justin Triolo

Justin Triolo

Examination Director, Diversified, Carrying & Clearing – New York office

Karen Aavik

Chief Compliance Officer
Stratos Wealth Partners

Kelley Howes

Of Counsel / Vice Chair of Investment Management Practice
Morrison & Foerster LLP

Kevin Turton


Kurt Wachholz

Kurt Wachholz

Director Education

Marilyn Miles

Vice President, Consulting & Education

Mark D. Perlow

Dechert LLP

Matthew Fitzgerald

Vice President, Chief Compliance Officer
PGIM Fixed Income

Maurya Keating

Maurya C. Keating

Associate Regional Director, New York Regional Office
Office of Compliance Inspections and Examinations U.S. Securities and Exchange Commission

Max Mejiborsky

Senior Director, Private Fund Services

Mederic Daigneault

Senior Director, Consulting Operations

Nick Losurdo

Goodwin Procter LLP

Nicole Kalajian

Stradley Ronon Stevens & Young

Richard Kerr

K&L Gates LLP

Robert L. Sichel

K&L Gates LLP

Robert Stirling

Executive Consultant

Sean Kreiger

Chief Compliance Officer
Jackson Square Partners, LLC

Steven D. Trigili, MBA, CAMS

Chief Compliance Officer and AMLCO
Garden State Securities, Inc.

Tanya Cooper

Tanya Cooper

Forensic Accountant
Federal Bureau of Investigation (FBI)

Tara Stevenson


Tim Villano

President and CIO
Artemis Global Security, LLC

Tom Coonan


Tonja Morgan

AVP/Compliance Manager
Nuveen Investments, Inc

William Alan Nelson, J.D., LL.M

Chief Compliance Officer
Mercer Advisors

Register for the NRS Fall Compliance Conference at the current rate, and bring a second attendee from your firm for only $75.00!

The secret sauce to staying in the know for Investment Adviser and Broker-Dealer Compliance

Show your colleagues the secret to how you stay ahead of compliance challenges and build a culture of compliance by bringing them to our Fall Virtual Compliance Conference.  Our second attendee promotional rate of $75 makes this an easy decision!

Expand and Build a true culture of compliance within your firm

From your firm’s corporate officers in finance, operations and management, to your compliance team, and fellow advisers and registered representatives, your colleagues will gain the critical compliance knowledge they need during these unprecedented and evolving times.

Guidance on the latest in critical compliance topics from the Advertising Rule, to Ethical Dilemmas and Cybersecurity Risk with remote work-from-home environments will provide the education they need to help build a solid compliance program and the support structure they’ve been seeking.

Fulfill your continuing education credits

Are your colleagues struggling to find continuing education credits as events are postpone and cancelled?  Give them the opportunity to complete their education obligations for the year by attending the NRS Fall Compliance Conference.  Our sessions are eligible for:

  • California’s Minimum Continuing Legal Education (CA MCLE)
  • Certified Financial Planner (CFP)
  • Investment Adviser Certified Compliance Professional (IACCP)
  • Continuing Professional Education for Certified Public Accountants (CPE) (CPA)

Register you and your colleague now


Fall 2020 exhibitors and sponsors

BroadridgePratumStarkweather & ShepleyTD Ameritrade       BasisCode Compliance

exhibitor opportunities

NRS understands companies are looking for distinctive ways to get their brand in the minds and hands of audiences. Our Fall Conference will be virtual this year, providing our exhibitors with more value than ever before.

Advantages as an Exhibitor when participating in this upcoming virtual event:

  • Conference registration for two attendees.
  • Lasting name & brand recognition, exhibitor booths will be available to all attendees during the live event and for two (2) months post event as attendees revisit recorded material.
  • Customized virtual booth branding for your specific company
  • Enhanced virtual booth experience that can include videos, documents, website links, live chats, and more
  • Pre- and post-conference attendee list
  • Analytics
  • Website hyperlink
  • Access to compliance officers & other senior executives.
  • Scheduled networking opportunities.

If you are interested in additional information on sponsorship or more customized branding opportunities, please contact info@nrs-inc.com or call (860) 435-0200.

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 2020 Compliance Conference will include CLE, IACCP, CPE and CFP credits.

CA MCLE = 16.5 (based on a 60-minute hour)
CFP = 6.5 (based on a 50-minute hour)
IACCP = 17.0 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.


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.