Tag Archive: Elective


December 8, 2020 - Event

Compliance Professional Summit

A panel of compliance professionals from firms of many sizes will cover current risk issues of concern to many compliance professionals.
Find out more
November 19, 2020 - Event

RIA Year-End Compliance Check-up

This course gives you the opportunity to review, identify and discuss RIA compliance actions that should be part of your year-end checklist.
Find out more
October 26 – 29, 2020 - Event

NRS Fall 2020 Compliance Conference

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 […]
Find out more
August 20, 2020 - Event

Data Protection: Privacy, Identity Theft and Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
Find out more
August 18, 2020 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance and ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
Find out more
July 16, 2020 - Event

SEC Examination & Enforcement Update for Investment Advisers

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.
Find out more
July 16, 2020 - Event

Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning & More

This course will provide the tools needed so that a compliance professional to ensure business continuity, disaster recovery and succession planning.
Find out more
July 15, 2020 - Event

Data Protection: Privacy, Identity Theft & Cybersecurity

This course is designed to help you understand what regulators expect firms to do and provide tools to design and implement information security programs.
Find out more
July 15, 2020 - Event

Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA & ’34 Act Section 13 Reporting for Investment Advisers

This course surveys AML, ERISA compliance for advisers and ’34 Act Section 13 reporting requirements for advisers – mandates that firm needs to implement.
Find out more
June 25, 2020 - Event

SEC Examination and Enforcement Update for Investment Advisers

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.
Find out more