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NRS Spring 2020 Compliance Conference

April 20 – 23, 2020
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NRS Spring 2020 Compliance Conference - For Investment Advisers and Broker Dealers - April 20-23, 2020 - Miami FL

NRS Conference
Join NRS at our Spring 2020 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 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

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Having trouble with registration or registering internationally? Click here

hotel information

Hyatt Regency Miami
400 SE Second Avenue
Miami, FL 33131
Tel: +1 305 358 1234

Book your room by visiting here.

Miami does not really need an introduction. It is well known across the globe for its glitz and glamour and its beaches and sunny weather. Miami is a city that will capture you with its dazzle and hold you in its spell. When you think of Miami, chances are you think of a sandy beach with the sun shining.

The Hyatt Regency is a few steps from new Brickell City Center Mall and American Airlines Arena (home of the Miami Heat NBA team). Take a short walk to the free Metromover station, Metrorail Airport and Brightline train system and gain access to the most popular neighborhoods in Miami, including Miami port. Water taxi’s are also accessible from Hyatt’s private pier directly to South Beach.

group room block

NRS has secured a special discounted group room rate of $239.00 and resort fee of $10.00 plus tax/per night for the dates of April 20 – April 23, 2020. Group rate will be available until sold out or April 10, 2020.

To Reserve a Room visit here.

Nearest Major International Airport: Miami International Airport (MIA)

preliminary agenda (subject to change)

Monday, April 20
Pre-Conference Workshop A: Career Development for Compliance Professionals (IA/BD) (Basic)
Pre-Conference Workshop B: Developing Effective Compliance Training Programs (IA) (Intermediate)
Tuesday, April 21
Keynote Address
Perspective from the Regulators (IA/BD) (Intermediate)
Countdown to Reg BI (BD)
New SEC Advertising Proposal and GIPS update (IA)
Unpacking the Latest SEC Releases and Proposals
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)
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)
Wednesday, April 22
Keynote Address
Recent Trends in Investment Adviser Enforcement Proceedings (IA) (Intermediate)
Recent Priorities in Broker Dealer Regulation and Examination (BD) (Intermediate)
Duties of Care under Reg BI for Dual Registrants (IA/BD) (Intermediate)
Ethics for Compliance Professionals (IA/BD) (Advanced)
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)
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)
Thursday, April 23
How Do I Know I Have Done Enough? (IA/BD) (Intermediate)
Countdown to Form CRS for Investment Advisers (IA) (Basic)
Countdown to Form CRS for Broker-Dealers (BD) (Basic)
Countdown to Form CRS for Dual Registrants (IA/BD) (Basic)
Critical Skills: Developing Effective Compliance Training Programs (IA/BD)
Compliance Considerations in Firm Succession Planning (IA) (Intermediate)
Compliance Considerations for AML Programs (BD) (Intermediate)
Best Execution and Trading for Investment Advisers (IA) (Intermediate)
Best Practices in Registered Representative Oversight (BD) (Intermediate)

Please note that this agenda is subject to change

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 2020 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

Interested in being one of these partners? Fill out this form 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 2020 Compliance Conference with multiple sponsorship and branding opportunities. To learn more, fill out this form or call us at (860) 435-0200.

Your brand in the hands & minds of hundreds of potential clients.

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

Pre-Conference Workshop A: Details to follow
Pre-Conference Workshop B: Details to follow
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.


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.