NRS Fall 2020 Compliance Conference
October 26 – 29, 2020
$1,495
Join NRS at our Fall 2020 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 Recent Trends in Investment Adviser Enforcement Proceedings Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The group’s discussion went very well. – NRS Spring 2019 Conference Attendee SEC Examinations for IA’s This session contained incredibly useful information, good experiences, great energy…
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NRS Spring 2021 Compliance Conference
May 17 – 20, 2021
$1495
Join NRS at our Spring 2020 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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NRS Fall 2021 Compliance Conference
October 24 – 29, 2021
$1495
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 2020
October 27, 2020 - Event
Unpacking the Proposed Advertising and Solicitor Rule
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, 2020 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals Amid the Pandemic Response
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 29, 2020 - Event
Critical Skills for High-Performance Compliance Professionals: Business Continuity and Disaster Recovery; Lessons Learned in 2020
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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December 2020
December 3, 2020 - 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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