As you adjust to the realities of a new era of tough no-nonsense regulation, we at NRS are proud to announce our Twenty-Fifth Annual Spring Compliance Conference. With the regulators ramping up their examination and enforcement programs and clients demanding increased transparency and accountability, the stakes are high for compliance professionals and industry executives. At the same time, prospects for regulatory restructuring at the hands of Congress continue to loom. In this changing and uncertain environment, it is imperative that you stay current with the latest regulatory and compliance initiatives and developments. Our conference is perfectly timed for you to learn what this year holds in store for your profession and your firm.
This year we are celebrating the Twenty-Fifth Anniversary of NRS conferences. These events have stood the test of time by consistently delivering a powerful agenda and cutting edge sessions in a relaxing destination resort setting. Regulators and recognized industry experts provide comprehensive regulatory and legislative updates and practical real-world solutions for maintaining and improving compliance procedures and practices.
At this year’s event, we are offering three pre-conference workshops providing additional training on the following topics:
- The New Era of Hedge Fund Compliance
- The Building Blocks of a Sustainable Investment Adviser Compliance and Supervisory Program
- Compliance Strategic Planning Process, presented by Ann Oglanian, CEO of ReGroup LLC, as part of her highly acclaimed series of Professional Development workshops.
Our engaging agenda includes topics of interest to investment advisers, broker-dealers and dual registrants. The opening session is a roundtable of distinguished regulators representing the SEC, FINRA and NASAA. We’ve dedicated a session to addressing the compliance challenges presented by social networking. We are pleased to again welcome a blue-ribbon panel of NRS IACCP℠ designees who will share their best practices for conducting a self-assessment of compliance officer effectiveness. For broker-dealers and dual registrants, sessions will be offered on topics such as FINRA examination focus areas, broker-dealer advertising, managing a dual registrant compliance program and branch office audits.
With Early Registration pricing, a great room rate, a current and content-rich program featuring preeminent speakers and the opportunity to confer with your colleagues in a low-stress setting, the NRS Spring Compliance Conference is a “can’t miss” event. I invite you to join us in Fort Lauderdale, the “Venice of America”.
Regards,
Richard Cortese
Vice President
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NRS delivers a three-sided approach to compliance—comprehensive education, best-in-class technology and expert consulting services. We understand the needs of compliance professionals, from the tools they use to the regulatory requirements their firms must meet. For industry newcomers and seasoned CCOs alike, no one has more ways to help you avoid risk and protect your firm’s reputation than NRS. 
NRS Education provides the knowledge and insight necessary for CCOs and compliance staff to meet the challenges of a demanding and fluid regulatory environment. Our mission is to advance compliance as a profession and support compliance professionals in managing a successful compliance program. |
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