Tag Archive: Core
October 29, 2020 - Event
Critical Skills for High-Performance Compliance Professionals: Business Continuity and Disaster Recovery; Lessons Learned in 2020
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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October 28, 2020 - Event
Professional Ethics: Ethical Decision-Making for Compliance Professionals Amid the Pandemic Response
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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October 27, 2020 - Event
Unpacking the Proposed Advertising and Solicitor Rule
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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October 26 – 29, 2020 - Event
NRS Fall 2020 Compliance Conference
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 […]
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October 13, 2020 - Event
Compliance Programs Rules and Strategies for Managing Your Annual Review
This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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October 8, 2020 - Event
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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October 6, 2020 - Event
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.
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October 1, 2020 - Event
Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts
The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.
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September 29, 2020 - Event
Investment Adviser Codes of Ethics: The Rule Plus Implications of Gifts and Whistleblowers
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.
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September 24, 2020 - Event
Books and Records Requirements for Investment Advisers
This session will cover the SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.
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