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August 2019

August 22, 2019 - Event

Global Investment Performance Standards (GIPS®) for Investment Advisers

This course is designed to provide an overview of the Global Investment Performance Standards (GIPS®)
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September 2019

September 5, 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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September 10, 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.”
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September 12, 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.
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September 17, 2019 - Event

Investment Adviser Performance and Advertising

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
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October 2019

October 15 – 18, 2019 - Event

NRS Fall 2019 Compliance Conference

Come to Huntington Beach, known as “Surf City USA” for compliance education and peer interaction. Join NRS at our Fall 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 are instrumental…
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October 29, 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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October 31, 2019 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

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 and proprietary trading, principal and agency cross transactions, side-by-side management, effective supervisory systems, and special considerations…
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November 2019

November 5, 2019 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers

Course Description: Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every registered investment adviser firm must adopt codes of ethics that establish standards of conduct and address conflicts that arise from personal trading issues. Many state advisers have also adopted a code of ethics either in response to state mandates or as an industry best practice. Instruction and guidance for this course will focus on identifying the requirements that…
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November 7, 2019 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Course Description: The ongoing insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course. Section 204A requires investment advisers to establish, maintain and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic information by the firm…
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