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Scottsdale Investment Adviser Compliance Symposium

June 4 – 6, 2019
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Scottsdale Investment Adviser Compliance Symposium 2019
June 4-6, 2019

Venue:

The Royal Palms Resort
5200 E. Camelback Road
Phoenix, AZ, 85108
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A Solid Foundation in the Investment Advisers Act of 1940

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. Instructors will detail certain Advisers Act’s key sections, Form ADV and performance and advertising, and will share 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 examination and enforcement trends.

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 4

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 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)
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 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)
Professional Ethics: Ethical Decision-Making for Compliance Professionals

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

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

  • Meghan Carey: Partner, Murphy & McGonigle
  • Jina Choi: Partner, Morrison & Foerster LLP
  • Kelley Howes Counsel, Morrison & Foerster LLP
  • Joan L. Grant: Counsel, Shartsis Friese LLP
  • Sanjay Lamba: Associate General Counsel, Investment Adviser Association
  • Richard Marshall: Partner, Katten Muchin Rosenman LLP
  • Larry Nakamura: Senior Consultant, NRS
  • Mark Perlow: Partner, Dechert LLP
  • Michael Sherman: Partner, Dechert LLP
  • John Van Der Wal: Consultant, NRS
  • Kurt Wachholz: Director Education/Executive Consultant, NRS

The Scottsdale Symposium courses are being held at:

The Royal Palms Resort
5200 E. Camelback Road
Phoenix, AZ, 85108
Tel: 602-283-1234

NRS Group Room Block – Scottsdale Investment Adviser Compliance Symposium

NRS has secured a special discounted group room rate of $175.00 – king bed room with a resort fee of $10.00 plus tax/per night for the dates of June 3 – 5, 2019. Group rate will be available until sold out or May 10, 2019.

To make a reservation, please call 602-283 -1234 or 877-803-7534 and give the name NRS for our group rate.

Resort Fee Inclusions: local phone calls, notary services, gratuities to the bellman, use of the hotel’s business center including complimentary incoming faxes, welcome beverage upon arrival, mixology classes in the MixUP, guided history and art tours of property, hiking kit which includes granola bar, sunscreen, insect repellent, trail maps and backpack, infused water, sunscreen and daily delighter at the pool and daily access to the Alvadora Spa facilities and 10% Discount on Alvadora Spa boutique.

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

Special rates for single or multi-date attendance at the Scottsdale Investment Adviser Compliance Symposium are available now. Don’t miss the chance to save on registration!

Contact us for more information or call 1-(860)-435-0200 today.