Resources

These useful resources will help you stay up to date on the latest industry trends and technologies.

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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.
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Regulation Best Interest Examinations are Coming
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.
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2020-Course-Calendar
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.
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IACCP Lookbook
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.
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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.
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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.
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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)
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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.
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Evolution Revolution 2018
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.
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FIRE Solutions
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.
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