Tag Archive: Elective

Course Description: Today’s compliance professionals are facing an era of dynamic and rapid regulatory change. New regulatory leadership and initiatives are changing securities regulation in fundamental ways. More demanding regulatory inspections and growing expectations (such as social media and cloud computing) are straining compliance resources. Now, more than ever, the periodic identification and assessment of […]

Course Description: This timely course gives you the opportunity to review, identify and discuss investment adviser compliance action items that should be part of the compliance officer’s year-end checklist. To help review the current year and plan for the future, instructors will walk you through key compliance resolutions for the year ahead. Essential to this […]

Course Description: The North American Securities Administrator Association (NASAA) Coordinated Exams Program is a biennial initiative conducted to identify common investment adviser deficiencies. NASAA issues a comprehensive report that documents examination outcomes from a sample of state level investment advisers and provides suggested best practices to avoid regulatory violations. The last report (2017) recorded 1,227 […]

Course Description: Compliance professionals must be ever mindful of the ongoing mandates embodied in Rule 206(4)-7 under the Investment Advisers Act and Rule 38a-1 under the Investment Company Act to maintain, review, test and modify written compliance policies and procedures that are reasonably designed to detect violations and weaknesses in internal controls and compliance systems. […]

Course Description: In June 2016, the SEC issued a rule proposal, Adviser Business Continuity and Transition Plans, which would prohibit an SEC-registered investment adviser from providing investment advice unless the adviser adopts and implements a written business continuity and transition plan and reviews the plan at least annually. While a final rule has yet to […]

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.

In the past several years regulatory scrutiny of data protection has expanded from basic issues of privacy, to requirements for dealing with identity theft, to detailed assessments of firm-wide cybersecurity.

While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered.

Come to Orlando, home of the most magical place on earth, for compliance education and peer interaction. Join NRS at our Spring 2019 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 I depend […]

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.