DATES ANNOUNCED FOR 2014
NRS 29th Annual Fall Investment Adviser & Broker-Dealer COMPLIANCE CONFERENCE
October 28-30, 2014
Hyatt Regency, Scottsdale Resort & Spa, Scottsdale, Arizona
Minimize the risk of expensive fines and damage to your firm's reputation by learning from the best examples of compliance practice.
NRS Fall Conference - with a content-rich program, best practice examples and exceptional peer-to-peer networking – will take place in Las Vegas in October 2013.
NRS Fall Conference is the place for up-to-the-minute news on critical rules, cases and regulatory interpretations and also one of the industries best opportunities to earn continuing education credits. Register today to commit to enhancing your professional compliance competence.
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 Fall Conference to receive the policy and procedures guidance that will help you build and maintain a strong, effective compliance program.
New for 2013:
Foundations of Compliance– a day-long special track designed for those who are new to compliance or who want to refresh their knowledge of the basics:
- Clear, practical methods to identify and understand the laws, rules, regulatory actions and business roles that apply to your business
- An introduction to best execution, registration, advertising, disclosure and more
Free workshops on the day before the main conference:
- Critical skills for high-performance compliance professionals
- Ethical decision-making
- Examination survival camp
Technology and IT focus:
- Governance, risk and compliance technology vs. Enterprise risk management
- Social media compliance
- Lions’ Den: Innovative vendor solutions
- Data security: Integrating the new SEC Red Flags Rules and identity theft requirements
- Plus, much more including: Advertising, risks of dual registration, ADV Part 2 & beyond, personal trading, disaster recovery, outside business activities, AML and FATCA, annual reviews, due diligence, training, testing, supervisory liability and ERISA