April 19–22, 2010
Harbor Beach Marriott Resort and Spa
Fort Lauderdale, Florida
Don't miss this exciting 25th Anniversary NRS Spring Compliance Conference. Right from the start the Conference offers you the insight needed for managing a successful compliance program. Participating in the opening panel will be:
- Robert Plaze — Associate Director, SEC Division of Investment Management
- Daniel Sibears — SVP & Deputy Member Regulation, FINRA
- Denise Voigt Crawford — President, NASAA
These distinguished panelists will provide a global perspective on current regulatory and legislative developments in the wake of the market crisis and their implications for compliance practices at your firm.
With a changing regulatory climate that promises to allow little margin for error, the Conference offers the perfect opportunity for compliance professionals to evaluate current compliance programs and prepare their firms for tougher regulations. The three-day agenda covers an array of mission-critical topics plus see the latest compliance products and services available to assist you manage your compliance program.
Who Should Attend
The artificial barrier between risk management and compliance is disappearing. Legal, regulatory and other enterprise risks are all converging at the compliance doorstep. The Spring Compliance Conference will focus not only on current compliance and regulatory developments, but also on practical guidance and strategies for managing your firm’s risk exposure. As compliance and risk are key issues for all divisions, NRS believes the following personnel would benefit:
- Senior Management
- Compliance Officers
- In-House Counsel
- Operations Managers
- Trading Personnel
- Marketing and Research Staff
- Branch Managers
Conference Dress
Dress for the conference is business casual.
Conference Highlights
Conferences provide compliance professionals the opportunity to immerse themselves in multiple days of education and training. Here are a few reasons why you should attend:
- The agenda addresses small, resource-limited advisers, complex investment management firms as well as broker-dealer and dual registrant issues
- Hear an opening panel of SEC, FINRA, NASAA staff speak to the headline-making regulatory initiatives
- Listen to two preeminent compliance experts discuss 2010 Survival Strategies in an open-mic session
- Learn current Forensic Testing techniques
- Expert speakers provide practical information that can be implemented in a real-world context
- The perfect training opportunity for new compliance staff
- Broker-Dealer topics: FINRA Examination Hot-Spots, Broker-Dealer Advertising and Supervision of Fixed and Variable Annuities—among others
- New to the agenda, a panel on Social Networking Compliance Challenges
- Participate in the Peer-Learning Discussion Groups
- Network at receptions and build relationships with your peers
- Attend a special AML session offering the latest in risk assessment, OFAC and suspicious activity reporting guidance
- Earn CE credits (including IACCP Professional Ethics credit)
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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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