Tag Archive: Testable Content


June 2 – 4, 2020 - Event

Investment Adviser Core Compliance Program Symposium 2020 – West

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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June 2 – 4, 2020 - Event

West Coast Investment Adviser Core Compliance Program Symposium

NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts.
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April 9, 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.
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April 7, 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.
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March 12, 2020 - Event

Two Trading Compliance Challenges: Valuation and Trade Errors

This session will provide guidance on SEC examiners will expect to see and best practices for addressing trade errors consistent with fiduciary standards.
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March 10, 2020 - Event

Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage

This course provides insight on the meaning of best execution, and focuses on how policies and procedures helps an adviser fulfill its obligations.
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March 5, 2020 - Event

Trading Practices, Portfolio Compliance and Related Enforcement Cases

This session focuses on the critical risk area of portfolio compliance including trading practices, portfolio compliance and related enforcement cases.
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March 3, 2020 - Event

Compliance Programs Rules and Strategies for Managing Your Annual Review

This course identifies internal controls and compliance testing and documentation procedures within the structure of a practical compliance program.
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February 13, 2020 - Event

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

This course provides key details on Section 206 of the Advisers Act as it pertains to Custody, Political Contributions, and Proxy Voting.
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February 11, 2020 - Event

Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act

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