Tag Archive: Core

The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients.

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. 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. […]

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. Course Description: The ongoing 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 […]

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. 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 […]

This is an in-person course being taught as part of the Boston Investment Adviser Compliance Symposium. 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 […]

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.

As compliance professionals, we are used to working within sets of well-defined rules and creating procedures that manage risks.

Investment adviser advertising continues to be one of the top problem areas identified by the SEC.

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.

Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.”