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 […]

Come to Huntington Beach, known as “Surf City USA” for compliance education and peer interaction. Join NRS at our Fall 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 upon my […]

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.

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 […]

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.

Course Description: Many investment advisers and broker-dealers are having to address the special challenges of an aging client base. FINRA, the SEC and NASAA have expressed an increased interest in senior investors and, in FINRA’s case, have enacted rules for brokers to address in their policies and procedures. Congress has passed the Senior Safe Act, […]

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.