Tag Archive: Elective

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.

This course will provide the tools needed so that a compliance professional to ensure business continuity, disaster recovery and succession planning.

The course will review the rules that determine who must register with the SEC vs states, and will highlight differences between SEC and state requirements.

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them.

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.

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 […]