Tag Archive: Testable Content


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August 14 – 16, 2018 - Event

Boston Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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July 18, 2018 - Event

Investment Adviser Performance and Advertising

Course Description: Investment adviser advertising continues to be one of the top problem areas identified by the SEC. Advertising and performance often present complex issues for all advisers, as well as many traps for the unwary, frequent exam deficiencies and, in the worst cases, potential for SEC enforcement actions. The SEC has devoted considerable attention […]
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July 18, 2018 - Event

Form ADV Part 2: Identifying and Disclosing Conflicts

Course Description: Five years ago the SEC approved a new Form ADV Part 2, a “plain English” narrative approach to client disclosure, which was put into effect in 2011. The adopted rule changes require investment advisers to file their brochures electronically and the public has access to these brochures via the IAPD. This course will […]
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July 18, 2018 - Event

Form ADV Part 1: Annual Updating Amendment and More

Course Description: Inaccurate and/or inadequate Form ADV disclosures are consistently cited in the SEC’s and many states’ list of “Top Deficiencies.” In this session, experts will systematically walk through Form ADV Part 1 and examine disclosure requirements that impact all advisers (including private fund advisers). This session will also review the method of calculating “regulatory […]
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July 17, 2018 - Event

Two Persistent Compliance Challenges: Insider Trading and Advisory Contracts

Course Description: The ongoing surge of insider trading investigations and civil and criminal enforcement actions involving Wall Street professionals is a reminder of the importance of an investment adviser having effective policies and procedures to detect and prevent the misuse of material nonpublic information. This mission-critical topic will be a focal point of the course. […]
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July 17, 2018 - Event

Books and Records Requirements for Investment Advisers

Course Description: For the average investment adviser, the prospect of managing the administrative and compliance aspects of the daily operations of the firm can be daunting. This pressure is further multiplied by recent regulatory trends and enforcement actions. Given these trends, advisers need to be particularly concerned about the accuracy, quality and completeness of the […]
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July 17, 2018 - Event

Introduction to the Advisers Act: Framework, Registration, Exclusions and Exemptions; Exempt Reporting Advisers; Private Fund Advisers and More

Course Description: Understanding the intricacies and implications of the Investment Advisers Act of 1940 (Advisers Act) is fundamental to the core responsibilities of any investment adviser compliance professional. A section-by-section review of the Advisers Act brings renewed focus to the root source of each requirement, many of which are likely to be encountered in compliance […]
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July 17 – 19, 2018 - Event

Chicago Investment Adviser Compliance Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 6, 2018 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

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. […]
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June 6, 2018 - Event

Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

Course Description: The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients. Rules promulgated under Section 206 prohibit an adviser from defrauding, deceiving or manipulating any client or prospective client in its business practices. In addition to the general […]
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