Scope, Learning Objectives and Prerequisites
This conference examines regulatory developments and industry best practices for investment adviser and broker-dealer compliance professionals with the goal of enhancing professional competence. Legal, regulatory and industry experts examine existing and new regulatory developments and requirements issued by Federal, State and SRO regulatory agencies, and offer policy and procedures guidance to help compliance professionals build and maintain strong, effective compliance programs. Selected interactive sessions give attendees the opportunity to discuss the issues and share best practices. Ample time will be allotted for attendees’ questions, and print and electronic materials are provided to support oral presentations.
After attending this conference, you will be able to:
- Define new regulatory initiatives and demonstrate an understanding of how they will impact your firm
- Build and maintain a strong and effective compliance program
- Apply real-world industry best practices to your firm’s policies and procedures
- Expand your network of compliance professionals for ongoing peer interaction and support
While no prerequisites are required, attendees can benefit from a basic understanding of definitions and concepts that arise under the Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
Continuing Education Credit Information
National Regulatory Services (NRS) conferences and seminars are designed to meet criteria for continuing education credits for financial planners, attorneys and other professionals. NRS is listed on the National Association of State Boards of Accountancy (NASBA) Registry as an approved provider of CPE credits for accountants and as a sponsor of CFP continuing education credits with the Certified Financial Planner Board of Standards. NRS has been certified by the California Continuing Legal Education Board as an Approved Provider of CLE credits for attorneys. CLE credits are available for most other states and may vary according to your state’s regulations. To request CLE credits or to learn more about the NRS Financial Hardship Policy, call 1-860-435-0200 or e-mail continuinged@nrs-inc.com.
Recommended Credit Hours
CPE = 13.5 credits
CLE = 11 credits (California CLE provider #2569)
CFP = pending individual course submission/approval
IACCP = 13.5 general credits; 2 ethics credits
NRS is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, Web site: www.nasba.org.
