Course Description: This course is custom-made for those who want a better understanding of the fundamentals of investment adviser compliance. Whether you are contemplating a compliance position or have recently assume a role in compliance, this course will help introduce the structure of the SEC, federal and state investment adviser regulation, and key issues and common obstacles encountered in administering a compliance program.

Course Description: How does an adviser determine if it is obtaining best execution? Each firm must determine the answer for itself based on a variety of objective and subjective criteria. During this course our instructors will review the July 11, 2018 Risk Alert and take a deep dive into the factors that constitute best execution to help you confidently identify them. Through the use of samples and scenarios the practical application of best execution activities will be explored helping uncover…

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…