NRS Spring 2020 Compliance Conference
April 20 – 23, 2020
$1,695
Join NRS at our Spring 2020 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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West Coast Investment Adviser Core Compliance Program Symposium
June 2 – 4, 2020
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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Central Investment Adviser Certified Compliance Professional Program Symposium
July 14 – 16, 2020
Gain a foundation in IA Compliance and complete requirements for your IACCP® Designation
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East Coast Investment Adviser Core Compliance Program Symposium
August 4 – 6, 2020
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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NRS Fall 2020 Compliance Conference
October 26 – 29, 2020
$1,495
Join NRS at our Fall 2020 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. attendee comments Recent Trends in Investment Adviser Enforcement Proceedings Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The group’s discussion went very well. – NRS Spring 2019 Conference Attendee SEC Examinations for IA’s This session contained incredibly useful information, good experiences, great energy…
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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.
Find out more
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.
Find out more
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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