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NRS Fall 2020 Compliance Conference
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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
Having trouble with registration or registering internationally? Click here
agenda sessions
| 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 |
Speakers
Amber Tatman
Consultant
NRS
Anne Buckley
President
Saro Partners Co.
Cherie Jolly
CCO
Dynamic Wealth Advisors
Chris Arthur
Chief Compliance Officer and Chief Information Security Officer
RDA Financial Network
Christopher Gerold
Bureau Chief, New Jersey Bureau of Securities
NASAA
David H. Lui
Co-Editor
Modern Compliance
Drew Ahrens
Senior Consultant
NRS
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
NRS
Jahan Raissi
Partner
Shartsis Friese LLP
John Walsh
Partner, Eversheds Sutherland LLP and
Member, Securities Enforcement and Litigation Team
John Van Der Wal
Consultant
NRS
Justin Triolo
Examination Director, Diversified, Carrying & Clearing – New York office
FINRA
Karen Aavik
Chief Compliance Officer
Stratos Wealth Partners
Kelley Howes
Of Counsel / Vice Chair of Investment Management Practice
Morrison & Foerster LLP
Kevin Turton
Consultant
NRS
Kurt Wachholz
Director Education
NRS
Marilyn Miles
Vice President, Consulting & Education
NRS
Mark D. Perlow
Partner
Dechert LLP
Matthew Fitzgerald
Vice President, Chief Compliance Officer
PGIM Fixed Income
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
NRS
Mederic Daigneault
Senior Director, Consulting Operations
NRS
Nick Losurdo
Partner
Goodwin Procter LLP
Nicole Kalajian
Counsel
Stradley Ronon Stevens & Young
Richard Kerr
Partner
K&L Gates LLP
Robert L. Sichel
Partner
K&L Gates LLP
Robert Stirling
Executive Consultant
NRS
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
Forensic Accountant
Federal Bureau of Investigation (FBI)
Tara Stevenson
Consultant
NRS
Tim Villano
President and CIO
Artemis Global Security, LLC
Tom Coonan
Consultant
NRS
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)
Fall 2020 exhibitors and sponsors
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.