Virtual: Investment Adviser Certified Compliance Professional Program Symposium
August 17 – 20, 2021
Attend our virtual Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
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NRS Fall 2021 Compliance Conference
October 25 – 28, 2021
$1695
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.
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August 2021
August 17 – 20, 2021 - Event
Virtual: Investment Adviser Certified Compliance Professional Program Symposium
Attend our virtual Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
Find out more
September 2021
September 9, 2021 - Event
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
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September 14, 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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September 16, 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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September 21, 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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September 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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September 28, 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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October 2021
October 5, 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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October 7, 2021 - Event
Form ADV Part 1: Annual Updating Amendment and More
This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.
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October 12, 2021 - Event
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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