NRS Spring 2021 Compliance Conference
May 17 – 20, 2021
$1,195
Join NRS Spring 2021 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
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NRS Fall 2021 Compliance Conference
October 25 – 28, 2021
$1495
Join NRS at our Fall 2021 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
Find out more
Events Search and Views Navigation
January 2021
January 21, 2021 - Event
Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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January 26, 2021 - Event
Books and Records Requirements for Investment Advisers
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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February 2021
February 4, 2021 - Event
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.
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February 9, 2021 - Event
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.
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February 11, 2021 - Event
SEC Examination and Enforcement Update for Investment Advisers
This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.
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February 18, 2021 - Event
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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February 23, 2021 - Event
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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March 2021
March 9, 2021 - Event
Compliance Programs Rules and Strategies for Managing Your Annual Review
This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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March 11, 2021 - Event
Trading Practices, Portfolio Compliance and Related Enforcement Cases
This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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March 16, 2021 - Event
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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