NRS Spring 2022 Compliance Conference
Facing the Future, Embracing the Fundamentals
May 16 – 19, 2022
$1495
Join NRS at the Spring 2022 Compliance Conference where industry experts will address ways to navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.
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Virtual: Investment Adviser Core Compliance Program Symposium
June 14 – 17, 2022
Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
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Investment Adviser Certified Compliance Professional Program Symposium
July 19 – 22, 2022
Attend our Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
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Investment Adviser Core Compliance Program Symposium
August 15 – 18, 2022
Attend our Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
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Events Search and Views Navigation
January 2022
January 25, 2022 - 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 2022
February 3, 2022 - 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 8, 2022 - 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 10, 2022 - 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 15, 2022 - 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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February 17, 2022 - 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 2022
March 8, 2022 - Event
Investment Adviser Performance and Advertising
This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters.
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March 10, 2022 - Event
Transitioning to the New Advertising Rule
This session will review the revolutionary changes and identify and discuss possible approaches firms may take to address them in their policies and procedures.
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March 15, 2022 - 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 17, 2022 - 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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