Tag Archive: Core

Join NRS at our Fall 2020 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 Recent Trends in Investment Adviser Enforcement Proceedings Session was bright and knowledgeable, with poised, vibrant and excellent speakers. The […]

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.

The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.

This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.

This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.

This session will help advisers avoid pitfalls and understand the advertising rule requirements and the many SEC no-action letters.

This course will examine Form ADV Parts 2 & 3 and the form’s 19 specific disclosure topics, including advisory business, fees and compensation, and more.

This session will walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers, and help you fully understand AUA requirements.