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NRS Spring 2022 Compliance Conference
Facing the Future, Embracing the Fundamentals

May 16 – 19, 2022
Register Now

special message from NRS

Your health and safety are our top priority. We are working closely with the conference venue and regularly reviewing CDC and state guidelines to ensure we have the strongest operating protocols to provide a safe and enjoyable experience for everyone.

Loews Portofino Bay Hotel at Universal Orlando.

Join NRS this Spring for a 4-day Investment Adviser and Broker Dealer conference!

During this time, industry experts will address ways to successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.

attendee comments

NRS is a leader in compliance education. They are a one-stop shop for support, training and resources.
My role as a CCO would be much more difficult without them.
conference attendee

Excellent conference with top speakers and current topics for compliance professionals.conference attendee

Meaningful interaction with peers. Quality content presented by engaging speakers.
Access to experts to ask questions relevant to my firm.
conference attendee

who attends

Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers

Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisers / Attorneys

Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers

Financial Planners / Operations Managers / Traders / Financial Service Professionals

Register Now


hotel information

Loews Portofino Bay Hotel at Universal Orlando
5601 Universal Blvd
Orlando, FL 32819
Tel: +1(407)-503-1000

This luxurious, Italian-inspired hotel boasts 750 guest rooms, including 45 suites. It offers majestic meeting and function spaces, eight intimate meeting rooms, a full-service business center and concierge, and two ballrooms.

To top it off, you can enjoy an opulent spa, three themed swimming pools and exceptional dining including outdoor cafes set on cobblestone streets, all within a short walk or complimentary water taxi ride to all the amazing dining, shops and entertainment at Universal CityWalk and the theme parks.


group room block

NRS has secured a special discounted group room rate of $299.00 for the dates of May 16-19, 2022. The room rate is available 3 days prior and 3 days after the conference dates, based upon availability.

Group rate will be available until sold out or April 25, 2022. Check out the hotel here.

To make your reservation, click here or call the Loews Reservation Center at 833-243-4727 and identify yourself as part of the NRS Conference, May 16-19.

Nearest major international airport: Orlando International Airport (MCO)


things to do

Click to enlarge image

agenda sessions

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

DAY 1: Monday, May 16
12:00pm – 12:30pm Pre-Conference Workshop I: Open Registration
12:30pm – 2:30pm Pre-Conference Workshop I: Women in Compliance Roundtable: Identifying and Improving Crucial Skill Sets (IA/BD)(Intermediate)
2:30pm – 3:00pm Pre-Conference Workshop II: Open Registration
3:00pm – 5:00pm Pre-Conference Workshop II: Mastering the Fundamentals: A Practical Introduction for Those New to Investment Adviser Compliance (IA)(Basic)
5:00pm – 7:00pm Main Conference Registration Open
5:00pm – 7:00pm Welcome Reception
DAY 2: Tuesday, May 17
6:00am – 7:00am Morning Exercise
7:00am – 8:30am Breakfast
7:00am – 5:30pm Registration Open
7:00am – 5:00pm Exhibit Area Open
8:30am – 8:45am Welcome Remarks /Conference Kick-Off
8:45am – 9:30am Keynote Address: Building Relationships in a Time of Change: Using Social and Digital Media to Educate and Protect Retail Investors (IA/BD) (Intermediate)
9:30am – 10:30am Perspectives from the Regulators (SEC, FINRA and NASAA) (IA/BD) (Intermediate)
10:30am – 10:45am Meet the Exhibitors /Networking Break
10:45am – 12:45pm CONCURRENT BREAKOUTS
10:45am – 12:45pm Countdown to the New IA Marketing Rules (IA) (Advanced) (Webinar)
10:45am – 12:45pm Roundtable Topical Discussions with NRS Consultants (IA/BD) (Basic)
11:45am – 12:45pm New and Evolving FINRA Rules for BDs and Dual Registrants (IA/BD) (Intermediate)
12:45pm – 2:00pm Lunch
2:00pm – 3:15pm The SEC’s Proposed Private Fund Rules: A Game Changer for Private Fund Advisers (IA) (Intermediate)
2:00pm – 3:15pm A Firm-Wide Approach to SEC Examinations (IA) (Advanced)
2:00pm – 3:15pm Navigating Your Next FINRA Exam (IA/BD) (Advanced)
3:15pm – 3:30pm Meet the Exhibitors / Networking Break
3:30pm – 4:30pm Translating Paper Rules into Electronic Reality: Today’s Books and Records Fundamentals (IA) (Intermediate)
3:30pm – 4:30pm Inflation’s Impact on Compliance (IA/BD) (Intermediate)
4:30pm – 5:00pm Coping with Implementing the New Marketing Rule and Managing Annual Reviews Using ComplianceGuardian™
5:00pm – 5:30pm ComplySci Product Presentation
6:00pm – 7:00pm Reception
DAY 3: Wednesday, May 18
6:00am – 7:00am Morning Exercise
7:30am –8:45am Breakfast – General Attendance
7:30am – 8:45am NRS IACCP Designee Breakfast – You’ve earned it! Enjoy a special breakfast and network with your peers.
7:30am – 5:30pm Registration Open
7:30am – 5:00pm Exhibit Area Open
8:45am –9:15am Opening Remarks/ Exhibitors Updates
9:15am – 10:45am Recent Trends in Investment Adviser Enforcement Proceedings (IA) (Intermediate)
9:15am – 10:45am Recent Trends in Broker Dealer Enforcement Proceedings (BD) (Intermediate)
10:45am – 11:00am Meet the Exhibitors / Networking Break
11:00am – 1:00pm Professional Ethics: Navigating Thorny Ethical Decision-Making after Organizational Changes (IA) (Intermediate) (Webinar)
11:00am – 12:00pm AML and BD Responsibilities Beyond the 34 Act (IA/BD) (Intermediate)
12:00pm – 1:00pm Developing Procedures for Suspected Financial Abuse and Client Illness (IA/BD) (Intermediate)
1:00pm – 2:30pm Lunch
2:30pm – 3:45pm The SEC’s Proposed Cybersecurity Rule: Requirements You Must Understand Now (IA) (Intermediate)
2:30pm – 3:45pm Documenting 401(k) and IRA Rollovers and More: Requirements and Status of DOL PTE 2020-02(IA) (Intermediate)
3:45pm – 4:00pm Meet the Exhibitors / Networking Break
4:00pm – 5:00pm The SEC’s Proposed Cybersecurity Rule: Considerations in Vendor Management (IA) (Intermediate)
4:00pm – 5:00pm Crypto Compliance: Best Practices When Recommending Digital Assets (IA/BD) (Advanced)
5:00pm – 5:30pm RIA in a Box Product Presentation
5:30pm – 6:00pm illumis Product Presentation
6:30pm – 7:30pm Reception
DAY 4: Thursday, May 19
6:00am – 7:00am Morning Exercise
7:15am – 8:15am Breakfast
7:15am – 2:00pm Registration Open
7:15am – 11:30am Exhibit Area Open
8:15am – 8:25am
  • Opening Remarks/Game Winners Announced – Join us for an overview of the day’s activities and find out the winners of the “Meet The Exhibitors” game.
8:25am – 8:45am Lessons from 35 Years in Compliance
8:45am – 10:00am How Do I Know I Have Done Enough? (IA/BD) (Intermediate)
10:00am – 10:15am
  • Meet the Exhibitors / Networking Break
10:15am – 11:15am CONCURRENT BREAKOUTS
10:15am – 11:15am Supervising Branch Offices and Home-Based Staff (IA/BD)(Intermediate)
10:15am – 11:15am Understanding Custody: Fundamentals and Beyond (IA) (Intermediate)
10:15am – 11:15am Practical Steps to Achieve ESG Compliance for Investment Advisers and Private Funds/Equity (IA) (Intermediate)
11:15am – 11:30am Meet the Exhibitors / Networking Break
11:30am – 1:30pm Critical Skills for High-Performance Compliance Professionals: CCO Liability: Staying Out of the Crosshairs (IA/BD) (Intermediate) (Webinar)
11:30am – 12:30pm Trading for Investment Advisers: Building from the Fundamentals (IA) (Intermediate)
12:30pm – 1:30pm Drafting Disclosures and Marketing Materials: Shifting Standards and New Challenges (IA)(Advanced)
1:30pm – 2:00pm Conference Wrap-Up/Boxed Lunch – NRS Consultants take your final questions and share their insights on key takeaways from the conference.
Please note that this agenda is subject to change


Conference Speakers

Amber Tatman

NRS, a ComplySci Company

Andrew Price

Chief Compliance Officer
St. Johns Investment Management Company, LLC

Anne Buckley

Saro Partners

Brian J. Baltz

McGuireWoods LLP

Catherine Reynolds

Product Manager
NRS, a ComplySci Company

Christoph Stoehrfeldt

Office of Regulatory Liaison

Courtney Bowling

NRS, a ComplySci Company

Craig R. Watanabe, CFP

Director of IA Compliance
DFPG Investments, LLC

David H. Lui

Modern Compliance Vol. 1 & 2

Deborah Eades


Elizabeth Knoblock

Managing Member

Ish Manzanares

Senior Director, Consulting
NRS, a ComplySci Company

Ishan Girdhar

CEO, Privva Inc.
Entreda, a Smarsh Company

Jeffrey R. Blumberg

Faegre Drinker Biddle & Reath LLP

Jeff VonDruska


John Walsh

Partner, Eversheds Sutherland (US) LLP

John Gebauer

President, NRS, a ComplySci Company

John Van Der Wal

Senior Consultant, NRS, a ComplySci Company

Karen M. Aavik

Director of Data Privacy, Bank OZK

Kevin Turton

NRS, a ComplySci Company

Kimberly Key

Chief Compliance Officer
Capital Wealth Advisors

Larry Nakamura

Vice President, Head of U.S. Wealth Compliance
CI Financial

Larry Stadulis

Managing Partner
Stradley Ronon Stevens & Young LLP

M. Owen Donley III

Chief Counsel
SEC Office of Investor Education and Advocacy

Marilyn Miles

Vice President
NRS, a ComplySci Company

Matthew J. Fitzgerald

Chief Compliance Officer

Max Mejiborsky

Director, Consulting
NRS, a ComplySci Company

Mederic Daigneault

Senior Director, Consulting
NRS, a ComplySci Company

Michael Cocanower


Miriam Frolow

Director of Education
NRS, a ComplySci Company

Nicole Del Rosario

NRS, a ComplySci Company

Richard Marshall

Katten Muchin Rosenman LLP

Robert Rabinowitz

Becker & Poliakoff

Rob Stirling

Executive Consultant
NRS, a ComplySci Company

Russell C. Weigel III

Florida Office of Financial Regulation

Samara Ross

Assistant Regional Director
U.S. Securities and Exchange Commission

Sanjay Lamba

Assistant General Counsel
Investment Adviser Association

Steve Trigili

Garden State Securities, Inc.

Sunil Bheda

Chief Technology Officer


Tiffany Magri

Regulatory Advisor

Youchang Wu

Associate Professor of Finance
Lundquist College of Business, University of Oregon

Yulia Kalk

Chief Operating Officer
Gordian Compliance Solutions


Spring 2022 exhibitors and sponsors 

Chicago Clearing
EAI Information Systems
RIA in a Box

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 2022 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


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 2022 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.

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 2022 Compliance Conference will include CLE, IACCP, CPE and CFP credits.

Pre-Conference Workshop I – Women in Compliance Roundtable: Identifying and Improving Crucial Skill Sets
Maximum Recommended Credit Hours
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 II – Mastering the Fundamentals: A Practical Introduction for Those New to Investment Adviser Compliance
Maximum Recommended Credit Hours
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
Maximum Recommended Credit Hours
CA MCLE = 16.0 (based on a 60-minute hour)
CFP = pending approval (based on a 50-minute hour)
IACCP = 16.5 general, 2.0 ethics (based on a 50-minute hour)
CPE = 19.0 in the Regulatory Ethics field of study (based on a 50-minute hour)

NOTE: These sessions do NOT qualify for CE credit:

  • Round Table Topical Discussions with NRS Consultants, 5/17/22 10:45am-12:45pm
  • Coping with Implementing the New Marketing Rule and Managing Annual Reviews Using ComplianceGuardian, 5/17/22 4:30pm-5:30pm
  • Opening Remarks, 5/18/22 8:45am-9:15am
  • Opening Remarks, 5/19/22 8:15am-8:45am
  • Conference Wrap-up, 5/19/22 1:30pm-2:00pm

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.