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April 2022

April 19, 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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April 21, 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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April 26, 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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May 2022

May 4 – 18, 2022 - Event

Managing Political Contribution Monitoring and Pay-to-pay compliance with illumis, a ComplySci Company

Presentation Description: Federal midterm elections are right around the corner, but even in non-election years there are still hundreds of state and local elections across the country. Pay-to-play regulations restrict political contributions from employees of many types of firms, and these regulations span a complex network of regulatory bodies including the SEC, FINRA, MSRB, CFTC, as well as state and local requirements. In this session, our product team will review illumis, a ComplySci Company’s unmatched political contribution monitoring solution. Learn…
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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

Countdown to the New IA Marketing Rules

The clock is ticking! SEC-registered investment advisers have until November 4 to restructure their entire marketing and referral programs to meet the requirements of revised rule 206(4)-1.
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May 18, 2022 - Event

Professional Ethics: Navigating Thorny Ethical Decision-Making for Compliance Professionals

This session will present compelling, if perhaps thorny, questions designed to help identify and promote ethical behavior in your firm.
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May 19, 2022 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Staying out of the Crosshairs

Questions of CCO personal liability have increased in recent years, not least through CCOs being named in high-profile SEC enforcement cases.
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June 2022

June 2, 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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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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