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April 2021

April 20, 2021 - Event

State Registered Investment Advisers: A Compliance Tutorial for Working with State Regulators

The course will review the rules that determine who must register with the SEC vs states, and will highlight differences between SEC and state requirements.
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April 22, 2021 - Event

Private Fund Compliance Considerations

This course will help compliance, legal and management professionals stay informed about regulatory priorities and initiatives for private fund managers.
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May 2021

May 4, 2021 - Event

Compliance Considerations: Elder Investors and Financial Exploitation

This session will assess the regulations, best practices with senior clients, and how your intentions may conflict with personal and medical privacy laws.
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May 6, 2021 - Event

Cybersecurity Breaches: Information Security Planning, Incident Response, and Breach Resolution

This webinar will outline how to overcome breach challenges related to cloud technology, remote access, back-up services, data protection and more.
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May 17 – 20, 2021 - Event

NRS Spring 2021 Virtual Compliance Conference

Join NRS Spring 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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May 18, 2021 - Event

Unpacking Changes to Advertising and Solicitor Rules for Investment Advisers

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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May 19, 2021 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals Applying a VUCA Approach

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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May 20, 2021 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Are You a Target?

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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June 2021

June 8 – 11, 2021 - Event

Virtual: Investment Adviser Core Compliance Program Symposium

Attend our virtual Investment Adviser Core Compliance Program Symposium, complete the coursework in 4 days and receive your IA Core Compliance Program Certificate of Achievement.
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June 15, 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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