Tag Archive: Core


April 28 – May 1, 2019 - Event

NRS Spring 2019 Compliance Conference

Save the date! NRS Spring 2019 Compliance Conference April 28 – May 1 Hyatt Regency Grand Cypress, Orlando, FL
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November 7, 2018 - Event

Professional Ethics: Ethical Decision-Making for Compliance Professionals (approved for IACCP Ethics credit)

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.
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NRS 2018 Fall Conference
November 5 – 8, 2018 - Event

NRS Fall 2018 Compliance Conference

Come to Carlsbad, as the locals call it “The Village by the Sea”, for compliance education and peer interaction. Join NRS at our Fall 2018 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs. attendee comments […]
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October 18, 2018 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

Course Description: In 1963, the United States Supreme Court held in SEC v. Capital Gains Research Bureau, Inc., that Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on investment advisers by operation of law. Section 206 of the Act (generally referred to as the “anti-fraud” provision) makes it unlawful for […]
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October 16, 2018 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Course Description: The ongoing surge of insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course. […]
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October 4, 2018 - Event

Books and Records Requirements for Investment Advisers

Course Description: For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recent regulatory trends and enforcement actions. Given these trends, advisers need to be particularly concerned about the accuracy, quality, and completeness of the […]
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September 27, 2018 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

Course Description: Understanding the intricacies and implications of the Investment Advisers Act of 1940 (Advisers Act) is fundamental to the core responsibilities of any investment adviser compliance professional. A section-by-section review of the Advisers Act brings renewed focus to the root source of each requirement, many of which are likely to be encountered in compliance […]
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September 25, 2018 - Event

Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers

Course Description: Ethics is not an option; it’s a requirement. Since the adoption of the SEC Rule on Codes of Ethics, every registered investment adviser firm must adopt codes of ethics that establish standards of conduct and address conflicts that arise from personal trading issues. Many state advisers have also adopted a code of ethics […]
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September 13, 2018 - Event

Investment Adviser Performance and Advertising

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.
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September 11, 2018 - Event

Form ADV Part 2: Identifying and Disclosing Conflicts

Five years ago the SEC approved a new Form ADV Part 2, a “plain English” narrative approach to client disclosure, which was put into effect in 2011.
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