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NRS Fall 2021 Compliance Conference
AGENDA UPDATED

October 25 – 28, 2021
$1695
Register Now
NRS 2018 Fall Conference

Carlsbad Coastal
Join NRS at our Fall 2021 Compliance Conference for Investment Advisers and Broker Dealers, where industry experts will address how 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 Fall 2019 Conference Attendee

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

hotel information

Park Hyatt Aviara Resort, Golf Club & Spa
7100 Aviara Resort Drive
Carlsbad, CA 92011
Tel: +1 760 448 1234

Escape to the San Diego coast of Carlsbad and experience Park Hyatt Aviara, a AAA Five-Diamond and Forbes Five-Star luxury resort. Minutes from LEGOLAND® Calif., and the Pacific Coast sandy beaches, Park Hyatt Aviara spa and golf resort getaway offers world-class recreation and relaxation amid 200 lush acres of natural beauty overlooking the Batiquitos Lagoon.

group room block

NRS has secured a special discounted group room rate of $319.00 and a waived resort fee for the dates of October 24-29, 2021. Group rate will be available until sold out or October 4th, 2021.

To make your reservation today click here, or call +1 760 448 1234 and use the NRS Group Code G-NRS1.

Nearest Major International Airport: San Diego Airport (SAN)

agenda sessions

Please note: All sessions are listed in West Coast Time (PT) and the agenda is subject to change. 

Monday, October 25
12:00pm – 12:30pm Workshop A: Open Registration
12:30pm – 2:30pm Workshop A: Women in Compliance Roundtable: Diversity and Inclusion in Compliance (IA/BD)(Intermediate)
2:30pm – 3:00pm Workshop B: Open Registration
3:00pm – 5:00pm Workshop B: New to Investment Adviser Compliance: Connecting Regulations to Daily Responsibilities (IA)(Basic)
5:00pm – 7:00pm Main Conference Registration Open
Tuesday, October 26
8:15am – 8:30am Opening Remarks
8:30am – 9:45am Keynote Address
9:45am – 10:00am Meet Exhibitors / Networking Break
10:00am – 11:00am Perspectives from the Regulators (SEC, FINRA, and NASAA) (IA/BD)(Intermediate)
11:00am – 11:15am Meet Exhibitors / Networking Break
11:15am – 1:15pm
1:15am – 2:30pm Lunch / Peer Learning Discussion by Geography
2:30pm – 3:30pm SEC Examinations of Investment Advisers – Process and Preparation (IA) (Advanced)
3:30pm-3:45pm Meet Exhibitors / Networking Break
3:45pm – 4:45pm Compliance with Remote Supervised Persons and Workplaces (IA/BD) (Intermediate)
4:45pm – 5:45pm Breakout Sessions for Day One – Roundtable Discussions on Day One Topics
4:45pm – 5:45pm Meet Exhibitors / Networking Break
6:00pm – 7:00pm Reception
Wednesday, October 27
7:30am – 8:30am IACCP Designee Breakfast
8:45am – 9:15am Opening Remarks/Exhibitors Address
9:15am – 10:30am Recent Trends in Investment Adviser Enforcement Proceedings (IA) (Intermediate)
10:30am – 11:00am Meet Exhibitors / Networking Break
 
  • Concurrent Breakout
11:00am – 1:00pm
11:00am – 12:00pm
12:00pm – 1:00pm
1:00pm – 2:30pm Lunch / Peer Learning Discussion by Firm Type
2:30pm – 3:30pm
3:30pm – 3:45pm Meet Exhibitors / Networking Break
3:45pm – 4:45pm
4:45pm – 5:45pm Breakout Sessions for Day Two – Roundtable Discussions on Day Two Topics
4:45pm – 5:45pm Meet Exhibitors / Networking Break
6:00pm – 7:00pm Reception
Thursday, October 28
8:30am – 9:30am How Do I Know I Have Done Enough? (IA/BD) (Intermediate)
9:30am – 9:45am Meet Exhibitors / Networking Break
9:45am – 10:45am
10:45am – 11:00am Meet Exhibitors / Networking Break
 
  • Concurrent Breakout
11:00am – 1:00pm
11:00am – 12:00pm
12:00pm – 1:00pm
1:00pm – 1:30pm Boxed Lunch – Grab and Go
1:00pm – 1:30pm Conference Wrap-Up
Please note that this agenda is subject to change

 

Confirmed keynote speaker

Peter Driscoll

Director, Office of Compliance Inspections and Examinations

U.S. Securities & Exchange Commission

 

Additional speakers

Coming soon

 

Fall 2021 exhibitors and sponsors

BasisCode ComplianceBroadridgeChicago Clearing

 

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 2021 Compliance Conference is a perfect opportunity 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

Check out the 2021 NRS Compliance Conferences Exhibitor and Branding package here.

 

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 2021 Compliance Conference with multiple sponsorship and branding opportunities.

  • 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.

Check out the 2021 NRS Compliance Conferences Exhibitor and Branding package here.

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 2021 Compliance Conference will include CLE, IACCP, CPE and CFP credits.

Pre-Conference Workshop A: Woman in Compliance Roundtable: Diversity and Inclusion in Compliance
Pre-Conference Workshop B: New to Investment Adviser Compliance: Connecting Regulations to Daily Responsibilities
Main Conference: Details to follow

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.