Events

Loading Events

Upcoming Events

Events Search and Views Navigation

Event Views Navigation

Notice: Utilizing the form controls will dynamically update the content

June 2019

June 25, 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…
Find out more

July 2019

July 11, 2019 - Event

Urgent: What the SEC releases require you to do ahead of RegBI

On June 5 the SEC issued adopting releases for Reg BI and Form CRS, and also issued two interpretive releases outlined below: The meaning of “fiduciary” as applied to the Advisers Act; The meaning of “solely incidental” when distinguishing brokerage and advisory services While most attention has been directed to Reg BI and Form CRS, these new requirements share a compliance date of June 30, 2020, giving BDs and IAs more than a year to prepare. By contrast, these two…
Find out more
Chicago skyline
July 16 – 18, 2019 - Event

Chicago Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
Find out more
July 16, 2019 - Event

Form ADV Part 1: Annual Updating Amendment and More

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”
Find out more
July 16, 2019 - Event

Form ADV Part 2: Identifying and Disclosing Conflicts

Five years ago the SEC approved a new Form ADV Part 2, a “plain English” narrative approach to client disclosure, which was put into effect in 2011.
Find out more
July 16, 2019 - Event

Investment Adviser Performance and Advertising

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
Find out more
July 17, 2019 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

This is an in-person course being taught as part of the Chicago Investment Adviser Compliance Symposium. Course Description: As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Compliance, legal and trading experts will offer an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: fiduciary duty and client investment objectives/restrictions, aggregation, allocation, personal…
Find out more
July 17, 2019 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

This is an in-person course being taught as part of the Chicago Investment Adviser Compliance Symposium. Course Description: As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Compliance, legal and trading experts will offer an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: best execution, soft dollars, and directed brokerage. This seminar…
Find out more
July 17, 2019 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

Trade errors are inevitable. What distinguishes compliant firms is that they detect and identify them quickly, resolve them fairly and expeditiously, and minimize the likelihood of errors in the first place.
Find out more
July 18, 2019 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.
Find out more
+ Export Events