26th Investment Adviser and Broker-Dealer Compliance Conference

Sarah Woodman, Global events journalist
May 16, 2011 /

The National Regulatory Services (NRS) will be sponsoring the 26th Investment Adviser and Broker-Dealer Compliance Conference on May 16-19, 2011 in Loews Miami Beach Hotel, Miami, Florida.

The conference aims to provide  essential and latest information about key regulatory changes and mission-critical compliance practices to compliance, legal, risk and operations professionals.

There will be a pre-conference workshop on compliance effectiveness training before the formal start of the event on May 16. It will discuss two matters namely Mastering Critical Skills for High Performance Compliance Professionals and Creating A Successful Roadmap for SEC Examinations.

On the first day of the conference proper, May 17, topics to be tackled are The Evolving Role of the CCO: in an Era of New Regulation, The Latest on FINRA Suitability and Know Your Customer Obligations and Professional Ethics: Ethical Decision-Making for Compliance Professionals.

On the second day, May 18, some matters that the conference will talk about are The New Paradigm: Trends in SEC Examinations and Enforcement, The Compliance Challenges of Today’s Evolving Buyside Trading Desk and Leveraging Technology to Enhance Your Internal Controls.

Lastly, on the last day, the matters to be discussed are Investment Adviser and Private Fund Due Diligence: Heightened Expectations of Investors and Regulators, Compliance and the Emerging Challenge of Social Media Communications, How to Strengthen Your Code of Ethics and Protect Your Firm and Understanding the Rules of Engagement for Adviser Marketing and Advertising.

Participants invited to join the conference are Senior Management, Compliance Officers and Staff In-House Counsel Operations Managers, Trading Personne lMarketing and Research Staff Branch Managers and Internal Audit Staff.


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