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.

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…

Course Description: Many investment advisers and broker-dealers are having to address the special challenges of an aging client base. FINRA, the SEC and NASAA have expressed an increased interest in senior investors and, in FINRA’s case, have enacted rules for brokers to address in their policies and procedures. Congress has passed the Senior Safe Act, which provides a safe harbor for reporting suspected elder abuse if certain conditions are met. NASAA issued the Model Act to Protect Vulnerable Adults from…

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…

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”

Five years ago the SEC approved a new Form ADV Part 2, a “plain English” narrative approach to client disclosure, which was put into effect in 2011.

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.

This is an in-person course being taught as part of the Chicago Investment Adviser Compliance Symposium. Course Description: As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Compliance, legal and trading experts will offer an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: fiduciary duty and client investment objectives/restrictions, aggregation, allocation, personal…

This is an in-person course being taught as part of the Chicago Investment Adviser Compliance Symposium. Course Description: As a fiduciary, an investment adviser has many obligations to the client including developing, implementing and testing policies, procedures and disclosures to ensure proper trading practices. Compliance, legal and trading experts will offer an overview of the trading process and appropriate best practices, and provide “hands-on” compliance solutions for the following mission-critical areas: best execution, soft dollars, and directed brokerage. This seminar…