This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.

In January, the SEC’s Office of Compliance Inspections and Examinations issued a release titled Cybersecurity and Resiliency Observations. The release addressed a number of cybersecurity areas including vendor management. Specifically, the release mentioned the importance of four policy and procedure areas: conducting due diligence, monitoring vendors and contract terms, assessing relationship risks, and assessing vendor information security. FINRA has stated the importance of formal documentation related to the managing of a vendor life cycle from onboarding, to ongoing monitoring, through…

Beyond the rules that require the Code of Ethics and the development of procedures to manage risks, compliance professionals must also demonstrate decision making that fosters remediation of unethical practices and sustainable 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 violations of the Code. In this interactive session, you will dissect and respond to various Code of Ethics based scenarios including discussions…

It should come as no surprise that US News has reported that compliance officers experience a high level of stress. Some of that is, of course, the nature of the job. But are there other factors at play? Are those who volunteer to accept compliance responsibilities more willing to “step up to the plate” or “take one for the team” than others in their firms? Is this a personality trait that may drive higher levels of stress? Are there other…

The course will review the rules that determine who must register with the SEC vs states, and will highlight differences between SEC and state requirements.

On June 5, 2019, the SEC adopted Form CRS and new rules, as well as amendments to its forms and rules under the Investment Advisers Act of 1940. Form CRS and its related rules require SEC-registered Investment Advisers to deliver to retail investors a brief customer or client relationship summary that provides information about the firm. Investment Advisers are required to file their relationship summary electronically via the Investment Adviser Public Disclosure (IAPD) website. This course will examine the form’s…

This course will help compliance, legal and management professionals stay informed about regulatory priorities and initiatives for private fund managers.

This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.