May 17, 2022 - Event

Countdown to the New IA Marketing Rules

The clock is ticking! SEC-registered investment advisers have until November 4 to restructure their entire marketing and referral programs to meet the requirements of revised rule 206(4)-1.
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February 15 2022 - NRS Insights

SEC Statement: Form CRS and Your Duties

On December 17th, 2021 the Securities and Exchange Commission (SEC) released their Staff Statements Regarding Form CRS Disclosures.
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May 19, 2022 - Event

Lessons from 35 Years in Compliance

Course Description: This year NRS Executive Consultant Rob Stirling celebrates his 35th anniversary in IA compliance. Rob has developed a practical approach to compliance by applying the many lessons he has learned as a consultant and as a CCO/General Counsel of advisory firms. In this talk, Rob will look back on the development of compliance […]
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May 19, 2022 - Event

Critical Skills for High-Performance Compliance Professionals: CCO Liability: Staying out of the Crosshairs (IA\BD) (Intermediate) (Webinar)

Course Description: Questions of CCO personal liability have increased in recent years, not least through CCOs being named in high-profile SEC enforcement cases. Indeed, the New York City Bar has issued a report on CCO liability in the financial sector and SEC Commissioner Hester Peirce has spoken on the need for a new liability framework. […]
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May 19, 2022 - Event

Supervising Branch Offices and Home-Based Staff (IA/BD)(Intermediate)

Course Description: Most firms are now committed to operating on a fully- or partially- remote basis. Indeed, some firms have decided that they will not return to the traditional office. That said, effective, scalable and testable supervisory systems for IAs and BDs are still in their infancy. Our panel will review proven ways to not […]
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May 19, 2022 - Event

Drafting Disclosures and Marketing Materials: Shifting Standards and New Challenges (IA) (Advanced)

Course Description: By November 2022, all SEC-registered advisers must comply with the new Marketing Rule that mandates “fair and balanced” disclosures for advertisements (including performance advertisements). In addition, investment advisers must provide “full and fair” disclosure to clients, primarily through Form ADV Part 2A. In 2019 the SEC issued an Interpretive Release on the meaning […]
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May 19, 2022 - Event

Trading for Investment Advisers: Building from the Fundamentals (IA) (Intermediate)

Course Description: Skilled traders, like fighter pilots and video-game masters, are adept at identifying, evaluating and acting quickly on information from multiple sources arriving rapidly and in real time. Compliance professionals, by contrast, are required to develop linear, step-by-step procedures to ensure compliance with securities laws and regulations. How can people with such differing skill […]
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May 19, 2022 - Event

Practical Steps to Achieve ESG Compliance for Investment Advisers and Private Funds/Equity (IA) (Intermediate)

Course Description: Environmental, Social and Corporate Governance (ESG) investing continues to attract attention from investors and regulators alike. Investment advisers and private funds that employ ESG strategies or products must develop a deep understanding of the legal, regulatory, and compliance considerations inherent in this investment strategy. This session will address fiduciary duties, ESG data and […]
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May 19, 2022 - Event

Understanding Custody: Fundamentals and Beyond (IA) (Intermediate)

Course Description: Is there anything more counterintuitive than the custody rules? It seems that everyone in your firm still has questions about applying custody rules and guidance. Despite this confusion, you need to establish bright lines in your custody procedures – even when the rules and guidance are unclear at best – to keep your […]
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May 19, 2022 - Event

How Do I Know I Have Done Enough? (IA/BD) (Intermediate)

Course Description: What is a “reasonable” effort to prevent and detect compliance violations? Is my smaller firm required to meet the same standards as the very largest firms? Have I adequately used the resources available to my large firm? Are there limits to what I, as a compliance professional, can be expected to do? How […]
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