Tag Archive: Compliance
October 28, 2020 - Event
2020 FINRA Small Firm Virtual Conference
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.
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October 21 – 23, 2020 - Event
NAPFA Fall 2020 Conference
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.
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October 19 – 21, 2020 - Event
2020 NSCP National Conference Exhibitor
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.
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April 28 – May 1, 2019 - Event
NRS Spring 2019 Compliance Conference
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 […]
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December 6, 2018 - Event
NRS 2018 Compliance Forum
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.
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