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Virtual: West Coast Investment Adviser Core Compliance Program Symposium

June 2 – 4, 2020
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special message from NRS

This event will be held virtually. All sessions will be presented live via our online webinar platform.
Receive your IA Core Compliance Program Certificate of Achievement in 3 days*

Right from the comfort of your home or office, attend our virtual Investment Adviser Core Compliance Program Symposium, receive your IA Core Compliance Program Certificate of Achievement in 3 days* and be half way to completing the coursework for the Investment Adviser Certified Compliance Professional (IACCP®) designation.**

Designed for professionals new to the Investment Adviser industry as well as those wanting to solidify their knowledge of the Investment Advisers Act of 1940 and its related rules, the West Coast Investment Adviser Core Compliance Program Symposium provides interactive compliance education led by seasoned legal and compliance industry experts.

Instructors will take you through 10 educational sessions over three days covering key sections of the Investment Advisers Act of 1940 and related rules; 6 sessions on the Advisers Act, 2 sessions on Investment Adviser disclosures, and 2 sessions on Investment Adviser ethics.***

*Certificate is awarded after course attendance and successful completion of assessment.

**IACCP® designation program has an additional 10 program courses that can also be completed virtually in as little as three days. See our Virtual Central Investment Adviser Certified Compliance Professional Program for details.

***Many of the symposium sessions, including Ethics, are approved CE for other industry designations and professional certifications. See the Continuing Education Credit tab below.

The NRS IACCP® and IA Core Compliance Programs are co-sponsored with:

IAA Investment Adviser Association

Continuing Education Credit Information for Investment Adviser Compliance Symposia.

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DAY 1: Tuesday, June 2
8:15 AM – 8:30 AM (PT) Welcome and Announcements for the Day
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
10:30 AM – 10:45 AM (PT) Morning Break
10:45 AM – 12:45 PM (PT) Books and Records Requirements for Investment Advisers
12:45 PM – 1:45 PM (PT) Lunch Break
1:45 PM – 3:45 PM (PT) Investment Adviser Code of Ethics: The Rule Plus Implications of Whistleblowers
3:45 PM – 4:00 PM (PT) Afternoon Break
4:00 PM – 5:00 PM (PT) Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts: Part 1
5:00 PM – 5:15 PM (PT) Day One Wrap-Up
DAY 2: Wednesday, June 3
8:15 AM – 8:30 AM (PT) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (PT) Professional Ethics: Ethical Decision-Making for Compliance Professionals
10:30 AM – 10:45 AM (PT) Morning Break
10:45 AM – 12:45 PM (PT) Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
12:45 PM – 1:45 PM (PT) Lunch Break
1:45 PM – 3:45 PM (PT) Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors & Proxy Voting Requirements
3:45 PM – 4:00 PM (PT) Afternoon Break
4:00 PM – 5:00 PM (PT) Two Persistent Compliance Challenges: Insider Trading & Advisory Contracts: Part 2
5:00 PM – 5:15 PM (PT) Day Two Wrap-Up
DAY 3: Thursday, June 4
8:15 AM – 8:30 AM (PT) Welcome and Announcements for the Day
8:30 AM – 10:30 AM (PT) Compliance Programs Rules & Strategies for Managing Your Annual Review
10:30 AM – 10:45 AM (PT) Morning Break
10:45 AM – 12:45 PM (PT) Form ADV Part 1: Annual Updating Amendment & More
12:45 PM – 2:00 PM (PT) Lunch Break
2:00 PM – 4:00 PM (PT) Form ADV Part 2 & 3: Identifying and Disclosing Conflicts
4:00 PM – 5:00 PM (PT) IA Core Compliance Program – Day Three Wrap-up
Please note that this agenda is subject to change
  • Brendan Roberts, Consultant, NRS
  • Cherie Jolly, CCO, Dynamic Wealth Advisors 
  • Christian Hennion, Partner, Katten Muchin Rosenman LLP
  • Christina Mickelson Hamilton, Partner, Shartsis Friese LLP
  • Gidget Furness, IACCP® Designee, Chief Compliance Officer, Wealth Management, Moss Adams LLP
  • Gretchen Lee, Chief Compliance Officer, Clifford Swan Investment Counselors 
  • Ish Manzanares, Senior Director, Consulting, NRS
  • Joan Grant, Counsel, Shartsis Friese LLP
  • John Van Der Wal, Consultant, NRS
  • Katherine Russell, IACCP® Designee, Chief Compliance Officer, Ferguson Wellman Capital Management
  • Kelley Howes, Of Counsel, Morrison Foerster
  • Kurt Wachholz, Director of Education, NRS
  • Mark Perlow, Partner, Dechert LLP
  • Michael Didiuk, Partner, Perkins Coie
  • Michael McGrath, Partner, K&L Gates LLP 
  • Pamela Pendrell, Partner and CCO, GlobeFlex
  • Rob Stirling, Executive Consultant, NRS
  • Sarah Buescher, Associate General Counsel, Investment Adviser Association
  • Sonia Gioseffi, Partner, K&L Gates
  • Tonja Morgan, VP, Compliance Officer, Nuveen Fund Advisors, LL

Please note that this speaker list is subject to change

National Regulatory Services (NRS) conferences, symposia and webinars 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