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March 2022

March 22, 2022 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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April 2022

April 7, 2022 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA 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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April 12, 2022 - Event

Mandates Beyond the Advisers Act: 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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May 2022

May 10, 2022 - 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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May 12, 2022 - 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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May 16 – 19, 2022 - Event

NRS Spring 2022 Compliance Conference
Facing the Future, Embracing the Fundamentals

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.
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May 17, 2022 - Event

Global Investment Performance Standards (GIPS®) for Investment Advisers

This course is designed to provide an overview of the Global Investment Performance Standards (GIPS®)
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May 19, 2022 - 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 24, 2022 - 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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June 2022

June 14 – 17, 2022 - 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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