Minimize the risk of expensive fines and damage to your firm's reputation by learning from the best examples of compliance practice.
NRS Spring Conference - with a content-rich program, best practice examples and exceptional peer-to-peer networking – will take place in Fort Lauderdale this May.
NRS Spring Conference is the place for up-to-the-minute news on critical rules, cases and regulatory interpretations and also one of the industry's best opportunities to earn continuing education credits. Register today to commit to enhancing your professional compliance competence.
The post-Dodd-Frank regulatory landscape is gradually coming into focus. We now know that:
- The SEC is bringing enforcement actions for rules violations even if the violation does not involve client fraud
- The SEC’s Enforcement Division (through its new Asset Management Unit), the OCIE, and the Division of Investment Management are working together to identify issues and potential targets for examinations and/or enforcement actions
- The qualifications and authority of compliance officers continue to be issues of great interest to the SEC
- Newly registered private fund advisers are being targeted for a focused program of “presence examinations” in the months ahead. Some experts suggest that as many as 25% of all such advisers may be examined in the next 18-24 months
- The SEC is asking top management to assess its risks beyond regulatory compliance, examining the entire range of risks associated with the firm, its affiliates, and its associated persons
Regulators are expecting a dynamic, robust program that is an integral part of the firm’s operations, management and overall culture. Ensure you register today for NRS Spring Conference to receive the policy and procedures guidance that will help you build and maintain a strong, effective compliance program.