San Francisco Investment Adviser Compliance Symposium 2015
June 9-10, 2015
Sir Francis Drake Hotel
450 Powell St.
San Francisco, CA 94102
A Solid Foundation for a Strong Compliance Program
A working knowledge of fundamental disclosure, trading and examination compliance principles is essential for anyone who works or desires to work in the field of investment adviser compliance.
NRS is offering interactive compliance courses on Disclosure, Trading and SEC Examinations that focuses on an introduction to the Advisers Act, trading aggregation and allocation, best execution, soft dollars, valuation, trade errors, and SEC examination and enforcement trends. Sessions will be led by seasoned legal and compliance industry experts who will detail requirements and share best practice that support you and your firm’s compliance program.
Visit NRS online for program and registration information.