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NRS Spring 2021 Virtual Compliance Conference
AGENDA UPDATED

May 17 – 20, 2021
$1,595
Register Now

special message from NRS

This event will be held virtually. All sessions will be presented live via our online platform.

Compliance Resilience and Reliance

Another NRS offering that promotes effective, efficient, and practical approaches to your regulatory obligations and compliance program administration.

Join NRS at our Spring 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

For me, the NRS conference offers more than just an abundance of invaluable, up to date, relevant information that can be taken back to the office and applied in real time; it also offers a fun and engaging learning environment where you can connect with your peers and experts in the field and gain lifelong connections as both friends and mentors! Thank you NRS for hosting such a wonderful event, a true highlight of my year! – NRS Fall 2020 Conference Attendee

Loved the new virtual format. It was great to get the credits without having to travel. Would love to have this as an option going forward. – NRS Fall 2020 Conference Attendee

NRS delivers on-time relevant content in a concise professional manner, always through the objective that attendees walk away with applicable tools of understanding and efficiency. – NRS Fall 2020 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

 

agenda sessions

Please note: All sessions are listed in Eastern Time (ET) and the agenda is subject to change. 

Monday, May 17
10:00am – 11:00am Keynote Address: A Conversation with the SEC’s Division of Examinations Director, Peter Driscoll
11:00am – 11:30am Meet Exhibitors/ Networking Break
11:30am – 12:45pm Perspective from the Regulators (IA/BD) (Intermediate)
12:45pm – 1:45pm Meet Exhibitors / Networking Break
1:45pm – 3:00pm
3:00pm – 3:30pm Meet Exhibitors / Networking Break
Tuesday, May 18
10:00am – 11:15am
11:15am – 11:45am Meet Exhibitors / Networking Break
11:45am – 1:00pm
1:00pm – 2:15pm Meet Exhibitors / Networking Break
2:15pm – 4:15pm Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers (IA) (Advanced) (Webinar), IACCP Course Elective
2:15pm – 3:15pm
3:15pm – 4:15pm
4:15pm – 5:45pm Meet Exhibitors / Networking Break
Wednesday, May 19
10:00am – 11:15am
11:15am – 11:45am Meet Exhibitors / Networking Break
11:45am – 1:00pm
1:00pm – 2:15pm Meet Exhibitors / Networking Break
2:15pm – 4:15pm
4:15pm – 4:45pm Meet Exhibitors / Networking Break
Thursday, May 20
10:00am – 11:00am How Do I Know I Have Done Enough? (IA/BD) (Intermediate)
11:00am – 11:30am Networking and Break
11:30am – 12:45pm
12:45pm – 1:30pm Meet Exhibitors / Networking Break
1:30pm – 3:30pm
3:30pm – 4:00pm Conference Wrap-Up
Please note that this agenda is subject to change

 

Speakers

Amber L. Tatman

Senior Consultant, Investment Adviser and Broker-Dealer Services
NRS

Anne Buckley

Anne Buckley, CRCP, IACCP®

President
Saro Partners Co.

Carmine Angone

Consultant
NRS

Cherie J. Jolly, IACCP®

CCO
Dynamic Wealth Advisors

Christopher Gerold

Christopher Gerold

Bureau Chief, New Jersey Bureau of Securities
NASAA

David H. Lui

Co-Editor, Volume I and II
Modern Compliance

Drew A. Ahrens

Senior Consultant
NRS

Elizabeth M. Knoblock

Managing Member & Owner
Elizabeth M. Knoblock, PLLC

Emily Zerbato

Compliance Administrator
Dowling & Yahnke, LLC

Genna Garver

Partner
Troutman Pepper Hamilton Sanders LLP

Ismael (Ish) Manzanares

Senior Director, Consulting
NRS

Jahan P. Raissi

Partner
Shartsis Friese LLP

John M. Van Der Wal

Senior Consultant
NRS

John Walsh

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

Karen Aavik

Chief Compliance Officer
Stratos Wealth Partners

Karyn D. Vincent, CFA, CIPM, CPA

Senior Head, Global Industry Standards
CFA Institute

Kelley A. Howes

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

Kevin Turton

Consultant
NRS

Kristin A. Snyder

Deputy Director and Co-National Associate Director
U.S. Securities & Exchange Commission

Kurt Wachholz

Kurt Wachholz

Director of Education, Executive Consultant
NRS

Larry Nakamura

Director of Compliance
Dowling & Yahnke Wealth Advisors

Marilyn Miles

Vice President, Consulting & Education
NRS

Mark D. Perlow

Partner
Dechert LLP, Financial Services and Investment Management

Matthew J. Fitzgerald

Vice President, Chief Compliance Officer
PGIM Fixed Income

Max Mejiborsky

Director, Private Fund Services
NRS

Mederic Daigneault

Senior Director, Consulting
NRS

Michael McGrath

Partner
K&L Gates

Nicholas J. Losurdo

Partner
Goodwin Procter LLP

Nicole Del Rosario

Consultant
NRS

Richard Kerr

Partner
K&L Gates LLP

Richard Marshall

Partner
KattenMuchinRosenman LLP

Rob Stirling

Executive Consultant
NRS

Robert L. Sichel

Partner
K&L Gates

Shirley Abraham

Examination Director — Member Supervision
Financial Industry Regulatory Authority (FINRA)

Steven D. Trigili, MBA, CAMS

Chief Compliance Officer
Garden State Securities, Inc.

Tara Stevenson, CAMS, IACCP®

Consultant
NRS

Tim Villano

President and CIO
Artemis Global Security, LLC

Tom Coonan

Associate Consultant
NRS

William Brannan

Counsel
Lowenstein Sandler LLP

William A. Haddad

Partner
Pasquarello Fink Haddad, LLC

William Nelson, J.D., LL.M

Assistant General Counsel
Certified Financial Planner Board of Standards, Inc.

 

Spring 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 Spring 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:

  • Demonstrate your products & services during session breaks
  • Virtual networking opportunities
  • 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 of audiences. We have designed opportunities to do just that at the NRS Spring 2021 Compliance Conference with multiple sponsorship and branding opportunities.

Brand Exposure Opportunities

  • Custom banner ad with link to company website on conference app
  • Company marketing literature placements

Your brand in the 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 Spring 2021 Compliance Conference will include CLE, IACCP, CPE and CFP credits.

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 = 20.0 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.

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.