The role of the compliance professional serving an investment adviser or broker-dealer is an ever-evolving one. And as it should be. In order to meet new regulations and increased risks, the role must adapt to the regulatory compliance space. However, the pace of change within the current landscape can make it difficult for professionals to keep up.
Which is why prioritizing your regulatory compliance education, and that of your entire firm, is such a critical initiative for 2023.
Investing in webinars, trainings and events led by investment adviser industry experts can help ensure you and your team stay up to date on the latest regulations and the best practices keeping firms like yours in compliance and manage risk.
In this blog, we’ll break down some of the key regulatory compliance education events being held by the National Regulatory Services company. Mark your calendars because you won’t want to miss this.
The following events are part of the Investment Adviser Certified Compliance Professional (IACCP®) Program that the Investment Adviser Association (IAA) co-sponsors. The IACCP® certification responds to growing industry demand for advanced compliance education and nationally recognized professional standards. Participants receive a compliance education based on a solid understanding of all – including the latest – regulations and rules with which all investment advisers must comply.
Additionally, the Investment Adviser Core Compliance program provides essential training on the Investment Advisers Act of 1940 and is a stepping-stone to the IACCP® Program and designation. It provides the foundational competence necessary to ensure both routine and newly required compliance obligations are consistently met.
2023 National Regulatory Services (NRS®) regulatory compliance education webinars
As a leader in the regulatory compliance space, National Regulatory Services (NRS) has made a name for ourselves, providing the leading compliance education to investment advisers, broker-dealers and compliance professionals serving the spectrum of financial services institutions.
This year, some of our webinars include:
Mandates Beyond the Advisers Act: Data Protection: Privacy, Identity Theft and Cybersecurity
This webinar will be held Jan. 26, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Two Persistent Compliance Challenges: Insider Trading and Advisory Contract
This webinar will be held Feb. 7, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Trading Practices, Portfolio Compliance and Related Enforcement Cases
This webinar will be held Feb. 9, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Understanding Fiduciary Duties and a Sweep of Certain Anti-Fraud Provisions of the Advisers Act
This webinar will be held Feb. 14, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Trading Compliance: Best Execution, Soft Dollars and Directed Brokerage
This webinar will be held Feb. 16, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Investment Adviser Performance and Advertising
This webinar will be held Feb. 23, 2023, from 1 – 3 p.m. Eastern. Registration is open now. Note, this session will cover both the old IA Performance and Advertising Rule and the new Marketing Rule.
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements
This webinar will be held Mar. 9, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Two Trading Compliance Challenges: Valuation and Trade Errors
This webinar will be held Mar. 14, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
Are You Prepared: Business Continuity, Disaster Recovery, Succession Planning and More
This webinar will be held Mar. 21, 2023, from 1 – 3 p.m. Eastern. Registration is open now.
2023 National Regulatory Services (NRS) regulatory compliance education events and symposia
In addition to our ongoing webinar series, NRS hosts virtual and in-person symposia designed to help attendees fast track to meeting their continuing education credit requirements, while learning about the most pertinent topics within the regulatory compliance landscape today:
Virtual Investment Adviser Core Compliance Program Symposium
This event, held Apr. 11 – 14, will cover topics including books and records requirements, anti-fraud rules, professional ethics and more. Registration is open now.
Virtual Investment Adviser Certified Compliance Professional (IACCP®) Program Symposium
This event, held May 16 – 19, will cover topics including trading practices and compliance challenges, critical skills for high-performance compliance professionals, and more. Registration is open now.
In-Person Investment Adviser Core Compliance Program Symposium
This in-person event, held Jul. 11 – 14 in Chicago, IL, provides attendees with 10 educational sessions over four days, covering key sections of the Investment Advisers Act of 1940 and related rules. Registration is open now.
In-Person Investment Adviser Certified Compliance Professional® (IACCP®) Program Symposium
Held in Chicago, IL, from Jul. 11 – 14, this in-person event provides attendees with 10 educational sessions over four days, covering key mandates beyond the Advisers Act, trading compliance, IA Marketing Rule, and more. Registration is open now.
ComplyConnect Conference & Expo 2023
The date of the 2023 ComplyConnect Conference & Expo will be announced shortly. Stay up to date with the latest news on the ComplyConnect website.
Check out the NRS website for a full list of webinars and events.