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June 2018
June 26, 2018 - 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…
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July 2018
July 10, 2018 - Event

Applying New Customer Due Diligence Requirements in AML Programs for Broker-Dealers

In 2016, FinCEN issued a Final Rule for Customer Due Diligence (CDD) under the Bank Secrecy Act that impacted not just banks but other financial institutions.
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July 17 – 19, 2018 - Event

Chicago Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 26, 2018 - Event

A Workable Compliance Program for Small Advisers

Course Description: Compliance is not a function that fluctuates with the scale of your business. Small firms don’t get a pass for being “less compliant” than larger firms. However, the amount of resources that firms are able to dedicate to compliance varies significantly. The SEC’s examination staff recognizes that small advisers face unique compliance issues and concerns. Small firms are not necessarily small in terms of assets under management, but instead, in terms of personnel, scope of business and access…
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August 2018
August 2, 2018 - Event

Global Investment Performance Standards for Investment Advisers

Course Description: This session is designed to provide an overview of the Global Investment Performance Standards (GIPS®), including: How the GIPS standards began and the concept of composite performance The fundamentals of compliance, including defining the firm, defining discretion, composite construction, performance calculation, and creating a compliant presentation Guidance on what is required of a firm that claims compliance with the GIPS standards Benefits of compliance, both to the advisory firm and the investing public Requirements for maintaining compliance on…
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August 7, 2018 - Event

Business Continuity Planning, Disaster Recovery, Succession Planning and More

Course Description: In June 2016, the SEC issued a rule proposal, Adviser Business Continuity and Transition Plans, which would prohibit an SEC-registered investment adviser from providing investment advice unless the adviser adopts and implements a written business continuity and transition plan and reviews the plan at least annually. While a final rule has yet to be released, many advisers have already adopted changes to their programs to address many of the rule elements. The SEC continues to show interest in…
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August 14 – 16, 2018 - Event

Boston Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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August 23, 2018 - Event

Damage Control: What To Do When Your Firm Breaks the Rules

Course Description: Even the most diligent firms with strong and effective Compliance and Risk Management processes in place can find themselves facing major problems. When risk events inevitably occur, will you know how to respond? The importance of successfully managing and containing these situations cannot be overstated. A crisis can hit in many forms: Two FBI agents arrive unexpectedly and ask to speak to the company controller. Your VP of Investor Relations gets an ominous telephone call from the SEC’s…
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August 28, 2018 - 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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September 2018
September 6, 2018 - 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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