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April 2019

April 28 – May 1, 2019 - Event

NRS Spring 2019 Compliance Conference

Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction. Join NRS at our Spring 2019 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. attendee comments I depend upon my partners in compliance, NRS, to keep me informed + updated on rule changes from myriad regulatory entities. Their Spring and Fall compliance conferences…
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April 29, 2019 - Event

New to Investment Adviser Compliance

Course Description: This session is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Our panelists will make sense of the structure of the SEC, state investment adviser regulation, and will review the key issues and common obstacles that you will encounter when designing and implementing your compliance program.
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April 30, 2019 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

Course Description: Beyond the rules that require Code of Ethics and the developing of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters unethical remediation and sustained ethical behavior. This session goes beyond the decisions involved in writing policies and procedures and addresses the process for deciding how to enforce and respond to them. In this engaging interactive session you will dissect and respond to various ethically-based scenarios including discussions and commentary with seasoned industry professionals.
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May 2019

May 1, 2019 - Event

Critical Skills for High-Performance Compliance Professionals: Best Execution

Course Description: FACT: Broker-dealers and investment advisers have different definitions of “best execution”. This simple fact is at the root of many of the problems firms have in determining whether or not they are achieving best execution. If you have a strictly BD or an IA background, you may encounter this confusion in working with colleagues or vendors with a different background. If you work for a dual registrant, you will likely have to meet the BD definition in some…
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May 14, 2019 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance and ’34 Act Section 13 Reporting for Investment Advisers

While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered.
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May 16, 2019 - Event

Data Protection: Privacy, Identity Theft and Cybersecurity

In the past several years regulatory scrutiny of data protection has expanded from basic issues of privacy, to requirements for dealing with identity theft, to detailed assessments of firm-wide cybersecurity.
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May 30, 2019 - Event

IACCP Exam Study Session (optional)

Course Description: Practice and preparation are two ways to help you improve your IACCP test results. This IACCP examination study session will help accomplish both for you. The instructor-led session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the actual exam. Refresh your memory and increase your knowledge and application of securities regulations and best practice. We recommend participating in this training exercise with other candidates to practice…
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June 2019

June 4 – 6, 2019 - Event

Scottsdale Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 4, 2019 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

Course Description: Understanding the intricacies and implications of the Investment Advisers Act of 1940 (Advisers Act) is fundamental to the core responsibilities of any investment adviser compliance professional. A section-by-section review of the Advisers Act brings renewed focus to the root source of each requirement, many of which are likely to be encountered in compliance departments of firms of every size. Everyday situations are incorporated to bring the Advisers Act to life, including practical advice about writing, implementing and maintaining…
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June 4, 2019 - Event

Books and Records Requirements for Investment Advisers

Course Description: For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recent regulatory trends and enforcement actions. Given these trends, advisers need to be particularly concerned about the accuracy, quality, and completeness of the firm’s books and records as required by Rule 204-2 of the Advisers Act. Generally speaking, at the outset of an examination, the SEC will form…
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