Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
January 15 2019 - Resource
NRS Education Calendar 2019
The NRS 2019 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
September 6 2018 - Resource
Evolution Revolution 2018
The 2018 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS), which is integrated with Accuity. The report offers the most comprehensive profile of SEC-registered investment advisers, containing data on 12,578 firms that manage $82.5 trillion for more than 34 million clients this year and employ more than 800,000 workers.
Read full article
June 20 2018 - Resource
FIRE on your side
Read the latest FIRE on Your Side e-news extract on the Senior Safe Act by filling out the form below.
Read full article
May 21 2018 - Resource
The Evolution of the Cybersecurity Exam
A compliance reporter webinar. Hosts: Kurt Wachholz, Executive Consultant – NRS, and Alex Santos, CEO – Fortress Information Security
Read full article
August 1 2017 - Resource
Evolution Revolution 2017
The just-released 2017 Evolution Revolution also shows that the investment adviser profession remains a powerful provider of high quality jobs as it evolves to meet the demands of a growing, tech-savvy client demographic. The 17th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that […]
Read full article
March 20 2017 - Resource
Transactional Exemption Module
While mutual funds may be exempted from state registration, they are still subject to state notice filings and payment of fees. Many of the state fees are calculated as a percentage of aggregate sales in the state. This whitepaper will outline how you can decrease expenses for paying state notice filings and fees, maximize recognition […]
Read full article
January 10 2017 - Resource
FIRE CE Needs Analysis Template
The Firm Element Continuing Education Document is a structured template that allows compliance officers to conduct a needs analysis and plan out training as it relates their Firm Element Program.
Read full article
May 10 2016 - Resource
Evolution Revolution 2016
The 16th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that has remained resilient despite flat markets.
Read full article
September 14 2015 - Resource
Getting the Message Right
For every financial institution, the proper supervision driving compliance requirements related to advertising, communications and correspondence is one of the most challenging aspects of their compliance responsibilities. This whitepaper covers the common challenges of managing advertising compliance, solutions enabled by technology and automation, and what you can achieve.
Read full article
July 10 2015 - Resource
Robo Advisers
At any level of involvement with robo-advisers, advisers must remain cognizant of their compliance responsibilities as well as the ongoing fiduciary duty they owe their clients. The use of robo-advisers may lead to a false sense of security if advisers feel they are relieving themselves of liability with respect to those outsourced functions. This whitepaper […]
Read full article
