Tag Archive: Compliance

Sign up for our complimentary demo during the conference to better understand how NRS ComplianceGuardian™ solution can help you maintain compliance fitness in the midst of uncertainty.

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.

As 2020 draws to a close, many Investment Adviser and Broker Dealer firms are reflecting on the current regulatory landscape and the impact of COVID-19 on their compliance operations.

This conference has passed. Please visit our Fall 2019 Compliance Conference page for details on our upcoming conference. Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction. Join NRS at our Spring 2019 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can […]

The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) often issues risk alerts to provide information on common deficiencies that their staff has cited in recent examinations of advisers.