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May 2020

May 14, 2020 - Event

Compliance Considerations for 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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June 2020

June 2 – 4, 2020 - Event

West Coast Investment Adviser Core Compliance Program Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 23, 2020 - Event

Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More

This course will provide the tools needed so that a compliance professional to ensure business continuity, disaster recovery and succession planning.
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June 25, 2020 - 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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July 2020

July 14 – 16, 2020 - Event

Central Investment Adviser Certified Compliance Professional Program Symposium

Gain a foundation in IA Compliance and complete requirements for your IACCP® Designation
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July 28, 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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August 2020

August 4 – 6, 2020 - Event

East Coast Investment Adviser Core Compliance Program Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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August 18, 2020 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
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August 20, 2020 - Event

Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
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September 2020

September 10, 2020 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
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