Tag Archive: IACCP

The IACCP exam study session will test your knowledge and allow you to become familiar with the types of questions you will encounter when taking the exam.

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.

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 […]

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.

This course will examine the different investment adviser’s fiduciary duties as it has evolved and provide examples of how it impacts operations.

The course will include a discussion on the development of the insider trading law, (Section 204A), recent insider trading cases, and policymaking.

This course focuses on identifying requirements that must be covered in an adviser’s code of ethics and tailoring them to meet your firm’s goals.