Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
November 10 2020 - Resource
Evolution Revolution 2020
With the Investment Adviser Industry continuing to see record growth in 2019, the 2020 Evolution Revolution Report provides a preview for the future growth and recovery of an industry that is vital for investors, the economy and capital markets.
Read full article
November 2 2020 - Resource
NRS 2021 Course Calendar
NRS 2020 Education Calendar provides a full view of all events so that you can plan your year for education; from becoming an IACCP designee, to continuing your education.
Read full article
August 14 2020 - Resource
COVID-19 Compliance Review Webinar
This webinar outlines the most common pitfalls related to the ongoing pandemic, and provides guidance for assessing your firms’ responses, along with the resiliency of your compliance program. Access the full webinar recording by completing the form below.
Read full article
February 19 2020 - Resource
Regulation Best Interest Examinations are Coming
Download our Reg BI whitepaper to fully understand what you need to do to ensure that you stay in compliance and are able to face a regulatory examination with confidence.
Read full article
January 8 2020 - Resource
NRS 2020 Course Calendar
NRS 2020 Education Calendar provides a full view of all events so that you can plan your year for education; from becoming an IACCP designee, to continuing your education.
Read full article
December 2 2019 - Resource
View our IACCP® / IA Core Lookbook
Are you ready to establish your foundation as a Compliance Professional? Learn how you can take your career in compliance to the next level by starting your path towards the Investment Adviser Core Compliance program or the Investment Adviser Certified Compliance Professional® (IACCP®) designation.
Read full article
November 14 2019 - Resource
View our ComplianceGuardian Video
Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Helping Investment Advisers and Broker-Dealers master compliance with greater confidence. View the video below or visit our Lookbook here.
Read full article
October 8 2019 - Resource
View our ComplianceGuardian Lookbook
Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Check out our lookbook to see our latest improvements.
Read full article
September 12 2019 - Resource
Evolution Revolution 2019
The 2019 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS)
Read full article
July 16 2019 - Resource
What the SEC Releases Require you do Ahead of Reg BI
This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program.
Read full article
