Can’t make an NRS Desktop Seminar? We’ve got you covered.
Desktops on Demand give you the opportunity to take advantage of the valuable and insightful information presented during NRS Desktop Seminars according to your own schedule.
For a flat rate, you gain access to a recorded Desktop Seminar which you can listen to as often as you’d like for 30 days from the date of purchase. You’ll be able to create your own personal compliance training library that you can access wherever you’ve got an Internet-connect PC, whenever you wish.
New Desktop Seminar topics are added to the Desktops on Demand list as they become available so you’ll always be able to benefit from the latest topics, the most current information and the engaging discussions you’ve come to expect from NRS.
List of available courses:
- Preparing for an SEC Examination: Identifying Priorities for 2010—07/22 DS
- Real World Compliance for the Small Adviser—07/20 DS
- Disclosure: Investment Adviser Performance and Advertising—06/17 DS
- Investment Adviser Regulatory Update—06/15 DS
- Disclosure: Form ADV Part 2 and Identifying and Disclosing Conflicts of Interest—06/10 DS
- Disclosure: Form ADV Part 1 and Regulatory Reporting—06/08 DS
- Anti-Money Laundering Risk Management—05/20 DS
- Trading—Best Execution, Soft Dollars and Directed Brokerage—05/18 DS
- Social Networking Compliance Challenges for Investment Advisers and Broker-Dealers—05/13 DS
- Trading—Portfolio Compliance and Valuation—05/11 DS
- Professional Ethics (IACCP Ethics CE)—04/19 DS
- Safeguarding Information—Reg S-P and Other Privacy Mandates—03/18 DS
- Preparing for an SEC Examination: Identifying Priorities for 2010—03/16 DS
- Ethics: Ethical Decision-Making and Lessons Learned from SEC Enforcement Cases—03/11 DS
- Ethics: Investment Adviser Codes of Ethics—Requirements and Best Practices—03/09 DS
- Post-Madoff Focus on Custody: Understanding the New Amendments to the SEC Custody Rule—03/04 DS
- Advisers Act: Compliance Programs Rules and Mastering the Annual Review—02/11 DS
- Advisers Act: Anti-Fraud Rules Part 2—Custody, Solicitors, Financial and Disciplinary Disclosure, Proxy Voting—02/09 DS
- Advisers Act: Anti-Fraud Rules Part 1—Fiduciary Duty, Principal and Agency Cross Transactions, Pooled Investment Vehicles, Advertising Rule—02/04 DS
- Advisers Act: Brochure Rule; Insider Trading; Codes of Ethics; Contracts—02/02 DS
- Advisers Act: Books and Records—Today’s Requirements—01/28 DS
- Advisers Act: Framework of the Act—Duty to Supervise; Who Must Register; Exclusions and Exemptions; State and Federal Responsibilities—01/26 DS
- Business Continuity Planning—01/12 DS
- RIA Year End Compliance Check Up Getting a Handle on Your Compliance Calendar—2009 DS
- Developing a Tailored Compliance Testing Program: Focus on Forensic Testing Techniques—2009 DS
- Protecting Client Information: Meeting Requirements under Reg S-P and State Laws—2009 DS
- How to Oversee the Trading Desk and Achieve Best Execution Compliance—2009 DS
- CCP Compliance Mandates Beyond the Advisers Act Part 1—2009 CCP
- CCP Compliance Mandates Beyond the Advisers Act Part 2—2009 CCP
- Operational Risk Management Part 2: Proactive Problem Management When Bad Things Happen - Effectively Dealing with Breaches, Misconduct and Internal Investigations—2009 DS
- Post-Madoff Focus on Custody and Safekeeping Requirements / Best Practices for Handling Client Class Action Claim Issues—2009 DS
- Operational Risk Management Part 1: Lessons from the Madoff Case and Practical Risk Management Strategies—2009 DS
- CCP Federal, State and SRO Securities Regulation—2009 CCP
- Special Concerns of the Dual Registrant (SEC and FINRA) Registered Firm—2009 DS
- Building and Managing a Compliance Program for the Small Adviser—2009 DS
- Facing New Challenges in Valuation and Portfolio Compliance—2009 DS
- Investment Adviser Advertising Dos and Don'ts—2009 DS
- A Primer on the Investment Advisers Act of 1940—2009 DS
