September 26, 2022 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

Formerly scheduled for October 26 Course Description: A new groundbreaking study by researchers at the University of Oregon shows that ethical lapses are likely to rise significantly in IA firms that have been acquired by private equity. While the results of this study are important for PE-owned firms, the possible origins of these ethical issues […]
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July 14 2022 - NRS Insights

The NRS Fall Compliance Conference is now part of the ComplyConnect Conference & Expo: Here’s what you need to know

What’s happening with the NRS Compliance Conference? If you are a dedicated attendee of the conference, whether for IACCP accreditation or simply because you are a compliance professional serving an investment adviser, broker-dealer, etc. who likes to stay in the know on the latest compliance updates, you might be asking this exact question. And now, we have the answer. In late 2021, NRS was acquired by ComplySci as one of three strategic acquisition that helped to create one of the most robust, comprehensive compliance offerings on the market. NRS brought with it a legacy of continued education and compliance excellence, which as a ComplySci family of companies, we are elevating to new levels this year. Introducing the first annual ComplyConnect Conference & Expo.
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November 8 – 10, 2022 - Event

ComplyConnect Conference & Expo

Why ComplyConnect? Education. Training. Industry insight. It all comes together at the ComplyConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. The first annual ComplyConnect […]
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SEC: No Extension for Reg BI, Form CRS Compliance
July 8 2022 - NRS Insights

Considerations for the SEC amendment on electronic filing requirements

Recently, the Securities and Exchange Commission (SEC) amended their EDGAR Filing Requirements and Form 144 Filings, adopting a policy of electronic submission. According to their press release, this new requirement will: 1. Create efficiency and transparency. 2. Better the commission’s operational resilience. 3. Improve accessibility, especially given COVID-19 restrictions. In addition to amending the form submission process, the SEC adopted new requirements for “structured data reporting and remov[ing] outdated references.”
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June 23 2022 - Press release

IAA AND NRS INVESTMENT ADVISER INDUSTRY SNAPSHOT CONFIRMS SECTOR GROWTH OF 16.7% YEAR-OVER-YEAR

- Annual industry survey cites demand for adviser services surges as number of advisers, clients and assets under management reach record highs in 2021 Washington, DC/Lakeville, CT (June 23, 2022) – The Investment Adviser Association (IAA) and National Regulatory Services (NRS), a ComplySci company, announced the investment adviser industry set records again in 2021, according to […]
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June 23 2022 - Resource

Investment Adviser Industry Snapshot 2022 – Evolution Revolution Reimagined

Growth was especially strong in 2021, reflecting the economic rebound driven by the post-pandemic reopening and the stock market surge. The number of SEC-registered advisers, the number of clients they serve, the assets they manage, and the number of people they employ all reached record highs in 2021. Among the topline findings of the Investment […]
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June 8 2022 - NRS Insights

Why advisers should consider adopting ESG compliance policies now

Environmental, social and governance (ESG) compliance. Three letters, which, five years ago you most likely hadn’t heard too much about. But now? That couldn’t be more different. ESG has become the topic du-jour. Between the Securities and Exchange Commission (SEC) making it one of their top exam priorities for 2022 and recent charges against top-tier investment advisers, you would be hard pressed to visit a news site or peruse a social media app and without seeing some reference to it. In this post, we’ll break down what ESG compliance is, why it matters and best practices for implementing your own ESG policies.
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May 25 2022 - NRS Insights

Top FAQs on the new SEC marketing rule

While November might seem lightyears away, the deadline for the Securities and Exchange Commission’s (SEC) new marketing rule – November 4, 2022 – is just around the corner. Last week, at the NRS 2022 Spring Conference, we polled the audience at our session “Countdown to New IA Marketing Rules” and found that approximately 50% of attendees have not yet begun implementation of the rule. While the session moderators fielded a host of questions and comments from the audience, we’ve aggregated the top questions regarding the new SEC marketing rule.
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April 22 2022 - NRS Insights

The SEC’s 2022 Examination Priorities and Private Fund Advisers

The Securities and Exchange Commission, Division of Examination (“the Division”), on March 30, 2022, published its long-awaited examination priorities, setting forth the Division’s priorities and the areas of focus posing risks to investors or the integrity of the capital markets. This commentary addresses selected risk areas from the examination priorities impacting private fund advisers.
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NRS Spring Conference Hero Image
April 12 2022 - NRS Insights

Top 5 Reasons to Attend the NRS Spring 2022 Compliance Conference

The NRS Spring 2022 Compliance Conference (held May 16th – 19th in Orlando, FL) offers the ideal opportunity to learn from the best-of-the-best, including industry experts, compliance professionals, and the regulators themselves.
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