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July 2019

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July 16 – 18, 2019 - Event

Chicago Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 16, 2019 - Event

Form ADV Part 1: Annual Updating Amendment and More

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”
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July 16, 2019 - Event

Form ADV Part 2: Identifying and Disclosing Conflicts

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.
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July 16, 2019 - Event

Investment Adviser Performance and Advertising

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
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July 17, 2019 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

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…
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July 17, 2019 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

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…
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July 17, 2019 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

Trade errors are inevitable. What distinguishes compliant firms is that they detect and identify them quickly, resolve them fairly and expeditiously, and minimize the likelihood of errors in the first place.
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July 18, 2019 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.
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July 18, 2019 - Event

Critical Skills for High-Performance Compliance Professionals: Closing the Circle

While compliance professionals are most adept at understanding what knowledge is needed to execute compliance tasks and responsibilities and foster a culture of ethical compliance, how to execute and implement is more challenging.
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July 18, 2019 - 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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