Tag Archive: Core
September 10, 2020 - Event
Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More
This webinar provides details on the Investment Advisers Act of 1940; defining who qualifies as an “investment adviser,” sections 201-203A, 207-224 and more.
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August 4 – 6, 2020 - Event
Investment Adviser Core Compliance Program Symposium 2020 – East
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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August 4 – 6, 2020 - Event
East Coast Investment Adviser Core Compliance Program Symposium
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 14 – 16, 2020 - Event
Investment Adviser Certified Compliance Professional Program Symposium 2020 – Mid-West
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 14 – 16, 2020 - Event
Central Investment Adviser Certified Compliance Professional Program Symposium
Gain a foundation in IA Compliance and complete requirements for your IACCP® Designation
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June 2 – 4, 2020 - Event
Investment Adviser Core Compliance Program Symposium 2020 – West
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 2 – 4, 2020 - Event
West Coast Investment Adviser Core Compliance Program Symposium
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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March 3, 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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February 13, 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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February 11, 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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