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San Diego Investment Adviser Compliance Symposium

June 5 – 7, 2018
Register Now

San Diego Investment Adviser Compliance Symposium 2018
June 5-7, 2018

Venue:

San Diego Marriott Gaslamp Quarter
660 K Street
San Diego , CA 92101
Hotel: (800) 228-9290

A Solid Foundation for a Strong Compliance Program

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. On days 1 and 2, instructors will detail each of the Advisers Act’s key sections, sharing insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. On day 3, courses are designed to give participants added opportunities to appreciate the nuances of the compliance profession through group discussions and interactive elements that highlight professional ethics, soft skills most useful in the compliance profession, and SEC examinations and enforcement trends.

Save When You Attend Multiple Courses
Choose three courses on any one day and pay just $630. Simply apply discount code SYM18 when you register.

The NRS IACCP and Core Programs are co-sponsored by:

IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

DAY 1: Tuesday, June 5

7:30 AM – 8:15 AM (PT)
Registration and Continental Breakfast

8:15 AM – 8:30 AM (PT)
Welcome and Introduction

8:30 AM – 10:30 AM (PT)
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

10:45 AM – 12:45 PM (PT)
Books and Records Requirements for Investment Advisers

12:45 PM – 2:00 PM (PT)
Lunch provided by NRS

2:00 PM – 4:00 PM (PT)
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

4:00 PM – 4:15 PM (PT)
Day’s Wrap

DAY 2: Wednesday, June 6

7:30 AM – 8:15 AM (PT)
Registration and Continental Breakfast

8:15 AM – 8:30 AM (PT)
Welcome and Introduction

8:30 AM – 10:30 AM (PT)
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

10:45 AM–12:45 PM (PT)
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

12:45 PM – 2:00 PM (PT)
Lunch provided by NRS

2:00 PM – 4:00 PM (PT)
Compliance Programs Rules and Strategies for Managing Your Annual Review

4:00 PM – 4:15 PM (PT)
Day’s Wrap

DAY 3: Thursday, June 7

7:30 AM – 8:15 AM (PT)
Registration and Continental Breakfast

8:15 AM – 8:30 AM (PT)
Welcome and Introduction

8:30 AM – 10:30 AM (PT)
Professional Ethics: Ethical Decision-Making for Compliance Professionals

10:45 AM–12:45 PM (PT)
Critical Skills for High-Performance Compliance Professionals

12:45 PM – 2:00 PM (PT)
Lunch provided by NRS

2:00 PM – 4:00 PM (PT)
SEC Examination and Enforcement Update for IAs

4:00 PM – 4:15 PM (PT)
Day’s Wrap

  • Keith Bishop: Partner, Allen Matkins LLP
  • Ruth Delaney: Associate, K&L Gates LLP
  • Luanne Graham: Investment Advisor Chief Compliance Officer, Cetera Financial Group
  • Joan Grant: Counsel, Shartsis Friese LLP
  • Sanjay Lamba: Assistant General Counsel, Investment Adviser Association
  • Ish Manzanares: Director, NRS
  • Larry Nakamura: Senior Regulatory Consultant, NRS
  • Pamela Pendrell: Partner and CCO, GlobeFlex Capital, LP
  • Mark Perlow: Partner, Dechert LLP
  • Manoj Tito Pombra: Chief Compliance Officer, Matthews Asia
  • Robert Robertson : Partner, Dechert LLP
  • John Van der Wal: Consultant, NRS

The San Diego Symposium courses are being held at:

San Diego Marriott Gaslamp Quarter

660 K Street
San Diego , CA 92101
Hotel: (800) 228-9290

NRS has secured a room block for the nights of June 5-7, 2018 at the preferred rate of $259 plus taxes/night.

Call (877) 622-3056 or book online at: https://book.passkey.com/go/NRSSD

Reservation cutoff date: May 14, 2017. Group rates available 3 days pre/post event, based on hotel availability.

National Regulatory Services (NRS) conferences and seminars are designed to meet criteria for continuing education credits for attorneys, CPA/accountants, certified financial planners, IACCP® designees and other compliance and legal professionals.

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 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 CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations.

For more information on continuing education or the NRS Financial Hardship Policy,
call 1‐860-435-0200860-435-0200 or email continuinged@nrs-inc.com.

Maximum Recommended credit hours for three-day Symposium:

CLE = 18 credits (based on a 60 – minute hour)
CPE = 18 credits in the Regulatory Ethics field of study (based on a 50 – minute hour)
CFP = pending approval (based on a 50 – minute hour)
IACCP = 18 general credits (based on a 50 – minute hour)

View the NRS Continuing Education Guide

National Regulatory Services 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 final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org