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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