Virtual: Investment Adviser Certified Compliance Professional Program Symposium
August 17 – 20, 2021
Attend our virtual Investment Adviser Certified Compliance Professional Program Symposium, and be half way to completing your IACCP® coursework.
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NRS Fall 2021 Compliance Conference
October 25 – 28, 2021
$1695
Join NRS at our Fall 2021 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.
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Events Search and Views Navigation
October 2021
October 12, 2021 - Event
Form ADV Part 2 and 3: Identifying and Disclosing Conflicts
This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.
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October 27, 2021 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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October 28, 2021 - Event
Critical Skills for High-Performance Compliance Professionals
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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November 2021
November 9, 2021 - 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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December 2021
December 9, 2021 - Event
IACCP Exam Study Session (optional)
The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.
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