Privacy & Cookies

New for 2013!

Pre-Conference Training Day - Foundations of Compliance

Wednesday October, 9 2013

A full day of training designed for everyone who is new to compliance and those who want to refresh their knowledge of the basics: 

Attend to benefit from:

  • 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
  • Separate tracks for IAs and BDs
  • How to prepare for your first regulatory exam and what to expect from examiners
  • Avoiding the common mistakes

Led by:

Larry Nakamura, Consultant, IA/BD Services, NRS

Robert Stirling, Sr. Consultant, Investment Adviser Svcs, NRS

David H. Lui, Chief Compliance Officer & Principal, Galliard Capital Management

Attendance fee = US$595

Please note:

  • The attendance fee of US$595 does not give you access to the Conference
  • The Foundations of Compliance Workshop will run concurrently with the Conference workshops



Oct 9

Foundations of Compliance

9:00am  – 10:00am

Foundations of Compliance Registration

10:00am – 12:00pm

The building blocks of knowledge needed by a compliance professional

  •  A guide to the regulatory framework
  •  Putting regulation in context – how has it developed over time?
  •  Introduction to the key concepts of compliance
  • How to prepare for your first regulatory exam and what to expect from examiners
  • Avoiding common mistakes made by new compliance professionals

12:00pm - 1:00pm

Lunch (on own)

1.30pm - 3.30pm

Compliance basics for those new to their role: Part One

 (Attendees will be divided into BD and IA groups for this session)

IA topics:

  • Registration: Who is and who isn’t an IA Rep?
  • Advisory agreement basics
  • Practical applications of fiduciary duty
  • What does “best execution” mean? And how can you evaluate best execution?
  • Disclosures – what and how to make proper disclosures, consistency of fund disclosures

BD topics:

  • Risk assessment :  The importance of a proper program to resolve conflicts
  • Written supervisory procedures: Who, what, how and when
  • AML
  • Dually- registered broker-dealers: The importance of proper supervision

3.30 – 3:45pm

Afternoon Refreshments

3:45pm - 5:45pm

Compliance basics for those new to their role: Part Two

(Topics covered in this session will be applicable to both IAs and BDs)

  • Books and records requirements
  • Designing an annual compliance review (2647 or 3012 compliance review program) and customizing a compliance calendar
  • Risk assessment and testing

6:00pm – 7:00pm

Main conference registration

Welcoming reception

Meet the exhibitors

Exhibiting companies

Bronze Sponsors:
Bronze Sponsors:
Lanyard Sponsor:
Copyright 2017 Reed Business Information Ltd