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NRS Spring 2019 Compliance Conference

April 28 – May 1, 2019
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Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction.

Join NRS at our Spring 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

Attendance Justification Letter

hotel information

Hyatt Regency Grand Cypress
1 Grand Cypress Blvd,
Orlando, FL 32836
Hotel Fact Sheet

Situated on 1,500 acres, Hyatt Regency Grand Cypress offers a multitude of activities: 45-hole Jack Nicklaus golf course, Marilyn Monroe spa, private lake for watercrafts, tennis, large lagoon-style pool with slide, 24 hour fitness center, shuttle service to all area theme parks and much more.

group room block

NRS special discounted group room rate of $235.00 and resort fee of $10.00 plus tax/per night are available for the dates of April 28 – April 30.

If you are interested in booking a hotel room at the group rate, please email training@nrs-inc.com with your name, check-in and check-out dates and a phone number where you can be reached. Contacting Hyatt Regency Grand Cypress directly will not secure you the NRS group room rate.

agenda sessions

Sunday, April 28
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
3:30 pm – 4:00 pm Registration Open for Pre-Conference Workshop B
4:00 pm – 6:00 pm Pre-Conference Workshop B: Women in Securities Compliance
6:00 pm – 7:30 pm Main Conference Registration Open
6:00 pm – 7:30 pm Meet & Greet Function
Monday, April 29
7:30 am – 5:30 pm Registration Open
7:30 am – 5:15 pm Exhibit Area Open
7:30 am – 8:30 am Breakfast
8:30 am – 8:45 am Welcome Remarks / Conference Kick-Off
8:45 am – 9:30 am Keynote Address: Peter Driscoll, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
9:30 am – 10:30 am Perspective from the Regulators*
10:30 am – 11:00 am Meet Exhibitors / Networking Refreshment Break
11:00 am – 12:15 pm Concurrent Breakouts
    Recent Trends in Investment Adviser Enforcement Proceedings* (IA/BD)
    Recent Priorities in Broker-Dealer Regulation (BD)
    Current Issues for Private Funds (IA)
12:20 pm – 1:20 pm Concurrent Breakouts
    Recent Developments for Cybersecurity* (IA/BD)
    Recent Developments in Regulation Best Interest* (IA/BD)
    Developing Effective Compliance Training Programs (IA/BD)
1:20 pm – 2:30 pm Lunch / Peer Learning Discussion by Geography
2:30 pm – 4:30 pm New to Investment Adviser Compliance
2:30 pm – 3:30 pm Third Party Compliance Considerations: Robo-Advisers & Model Marketplaces (IA)
Cryptocurrencies & Blockchain from a Compliance Perspective (IA/BD)
3:35 pm – 4:35 pm Self-Reporting: Useful Option or Last Resort?* (IA/BD)
Understanding GDPR and Its Compliance Reach (IA/BD)
6:00 pm – 7:30 pm Reception
Tuesday, April 30
7:30 am – 5:30 pm Registration Open
7:30 am – 5:00 pm Exhibit Area Open
7:30 am – 8:30 am Breakfast – General Attendance
7:30 am – 8:30 am NRS IACCP® Designee Breakfast
8:30 am – 8:35 am Opening Remarks / Exhibitors Address Audience
8:35 am – 9:25 am Opening Address
9:30 am – 10:45 am Concurrent Breakouts
    Custody: Understanding Criteria and Its Determination* (IA)
    FINRA Enforcement & Examinations for Broker-Dealers (BD)
    Global Marketing and MiFID II Compliance (IA/BD)
10:45 am – 11:00 am Networking Refreshment Break / Visit Exhibitors / Mingle with Attendees
11:00 am – 12:15 pm Concurrent Breakouts
    SEC Examinations for Investment Advisers*
    Technology Can Streamline & Track Your Compliance Requirements
    Marketing & Social Media for Broker-Dealers
12:20 pm – 1:20 pm Concurrent Breakouts
    Form ADV: Writing Effective Disclosures (IA)
    Compliance Considerations for Aging Clients* (IA/BD)
    Keys to Conducting Vendor Due Diligence (IA/BD)
1:20 pm – 2:30 pm Lunch / Peer Learning Discussion by Firm Type
2:30 pm – 4:30 pm Professional Ethics: Ethical Decision-Making for Compliance Professionals
2:30 pm – 3:30 pm Professional Development: Public Speaking (IA/BD)
AML Consideration for Broker-Dealers (BD)
3:35 pm – 4:35 pm Professional Development: Public Speaking workshop (IA/BD)
Understanding the Role of a CISO (IA/BD)
5:30 pm – 7:00 pm Reception – NRS Compliance Challenge
Wednesday, May 1
7:30 am – 2:00 pm Registration Open
7:30 am – 11:30 am Exhibit Area Open
7:30 am – 8:30 am Breakfast
8:30 am – 8:45 am Opening Remarks
8:45 am – 9:45 am How Do I Know I’ve Done Enough?
9:50 am – 11:05 am Concurrent Breakouts
    Supervision Considerations for Branch Offices and Registered Representatives (IA/BD)
    Best Practices for Administering Your Code of Ethics (IA)
    Advertising and Social Media for Investment Advisers (IA)
11:05 am – 11:30 am Boxed Brunch / Lunch
11:30 am – 1:30 pm Critical Skills for High-Performance Compliance Professionals – Best Execution
Compliance Issues: Alert Review, Best Practices and Practical Application (IA/BD)
11:30 AM – 12:30 PM Marketing Performance & GIPS Compliance (IA)
1:30 pm – 2:00 pm Takeaways / Conference Wrap-up
2:00 pm Conference Adjourns

*Provides CFP Credit.

speakers

  • Carmine Angone: Consultant, NRS
  • Gabriel Ayala, IACCP®, AIF®: Managing Director and Fiduciary Compliance, Charles Schwab & Co., Inc.
  • Matthew Baskir: Consultant, NRS
  • Anne Buckley: Chief Compliance Officer, Palladium Capital Advisors, LLC
  • Dawn Calonge: Surveillance Director – Florida District Office, FINRA
  • Matthew Chittle: Senior Director, Products, NRS
  • Mederic Daigneault: Senior Director, Consulting, NRS
  • Peter Driscoll: Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
  • Matthew J. Fitzgerald: Vice President, Chief Compliance Officer, PGIM Fixed Income
  • Marco Fuentes: Chief Compliance Officer, J.W. COLE FINANCIAL, INC.
  • John Gebauer: President, NRS
  • Paul D. Glenn: Special Counsel, Investment Adviser Association
  • Heidi Heath, IACCP®: Chief Compliance Officer, MACRO Consulting Group
  • J. Christopher Jackson: Sr. Vice President & General Counsel, Calamos Investments LLC
  • Richard F Kerr: Partner, K&L Gates LLP
  • Elizabeth M. Knoblock: Managing Member, Elizabeth M. Knoblock, PLLC
  • Kyle Loven, JD: CCEP, National Director, Computer Forensic Services
  • David H. Lui: Co-Editor, Modern Compliance: Best Practices for Securities & Finance
  • Ismael Manzanares: Senior Director, Consulting, NRS
  • Richard D. Marshall: Partner, Katten Muchin Rosenman LLP
  • Michael W. McGrath: Partner, K&L Gates LLP
  • Max Mejiborsky: Senior Director, Private Fund Services, NRS
  • Marilyn Miles: Vice President Consulting and Education, NRS
  • A. Valerie Mirko, Esq.: General Counsel, North American Securities Administrators Association
  • Yvette Panetta: Deputy District Director, FINRA
  • John Polise: National Associate Director of the Broker Dealer and Exchange Examination Program, U.S. Securities and Exchange Commission
  • Matt Przybylski: Consultant, NRS
  • Robert I. Rabinowitz: Shareholder, Becker & Poliakoff
  • George B. Raine: Partner, Ropes & Gray LLC
  • Catherine Reynolds: Director, Product Development, NRS
  • Brendan Roberts: Consultant, NRS
  • Ellyn T. Roberts: Counsel, Shartsis Friese LLP
  • David Solander: Counsel, Goodwin Procter LLP
  • Robert Stirling: Executive Consultant, NRS
  • David G. Tittsworth: Counsel, Ropes & Gray LLP
  • Steven D. Trigili CAMS: Chief Compliance Officer, Garden State Securities, Inc. Garden State Investment Advisory Services, LLC
  • Kurt Wachholz: Executive Consultant and Director, Education, NRS
  • John H. Walsh: Partner, Eversheds Sutherland (US)
  • Noula Zaharis: Director, Securities & Charities Division, Office of the Georgia Secretary of State

spring 2019 exhibitors and sponsors

Becker|Becker & Poliakoff, LLPbroadridgechicagoclearingORIONpratumstarsheptdameritrade

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 Spring 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 Spring 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.

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

Maximum Recommended Credit Hours

Pre-Conference Workshop A: Career Development for Compliance Professionals
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
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 = 16.5 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 17.5 general, 2.0 ethics (based on a 50-minute hour)
CPE = 19.5 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.