This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.

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

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

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.

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.

Join NRS at the Spring 2022 Compliance Conference where industry experts will address ways to navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.

This course is designed to provide an overview of the Global Investment Performance Standards (GIPS®)

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

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

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.