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NRS Spring 2021 Virtual Compliance Conference
AGENDA UPDATED
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special message from NRS
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
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 |
Speakers
Amber L. Tatman
Senior Consultant, Investment Adviser and Broker-Dealer Services
NRS
Carmine Angone
Consultant
NRS
Cherie J. Jolly, IACCP®
CCO
Dynamic Wealth Advisors
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, IACCP®
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
Director of Data Privacy
Bank OZK
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
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
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.
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.