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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May 18, 2022 - Event

NRS IACCP Designee Breakfast

Description: You’ve earned it! Enjoy a special breakfast and network with your peers. Hear from keynote speaker, Karen Aavik, Director of Data Privacy at Bank OZK and an IACCP Designee. Karen’s unvarnished commentary on the challenges compliance professionals face will get your day off to a great start. This session is part of the Spring […]
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May 17, 2022 - Event

A Firm-Wide Approach to SEC Examinations (IA) (Advanced)

Course Description: If you’ve been through an SEC audit, you know that the efforts of the entire firm are needed to provide the examiners the documents and information they require. With the SEC still primarily conducting remote exams, the need to quickly and accurately provide requested documents has never been greater. Successful compliance professionals are […]
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March 21 2022 - NRS Insights

Top Takeaways from the IAA 2022 Investment Adviser Compliance Conference

Earlier this month, two of our teammates attended the 2022 IAA Investment Adviser Compliance Conference, talking with experts and attending key sessions.
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March 4 2022 - NRS Insights

SEC Proposes Cybersecurity Risk Management Rules and Amendments for Registered Investment Advisers and Funds

The Securities and Exchange has proposed cybersecurity risk management rule amendments for registered investment advisers, and registered investment companies and business development companies (“funds”), as well as amendments to certain rules that govern investment adviser and fund disclosures.
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February 24 2022 - NRS Insights

SEC’s Proposal to Enhance Private Fund Protections

The Securities and Exchange Commission has proposed new rules and amendments under the Investment Advisers Act of 1940 (Advisers Act) to enhance the regulation of private fund advisers and to protect private fund investors increasing transparency, competition, and efficiency.
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February 24, 2022 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals

In this interactive session, attendees will dissect and respond to various ethically based scenarios, joined in discussion with seasoned industry professionals.
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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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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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