Chicago Investment Adviser Compliance Symposium

"A Solid Foundation in the Investment Advisers Act of 1940"
NRS is offering three days of interactive compliance education led by seasoned legal and compliance industry experts. Instructors will detail certain Advisers Act’s key sections, Form ADV and performance and advertising, and will share insight, perspective and practical advice about implementing strong internal controls that will support you and your firm’s compliance program. On day 3, courses are designed to give participants added opportunities to appreciate the nuances of the compliance profession through group discussions and interactive elements that highlight professional ethics, soft skills most useful in the compliance profession, and SEC examination and enforcement trends.


07:30 AM - 04:15 PM (General)

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100 - 500

10 - 50 Exhibitors Estimated Count

Category & Type

Business Services
Education & Training


16-18 Jul 2019

Frequency One-time

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National Regulatory Services USA

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Prakash Sathe

Prakash Sathe

Head of Sales at Leo Technosoft LLC

South Bend, United States

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map of University of Chicago: Gleacher Center

University of Chicago: Gleacher Center

450 N Cityfront Plaza Dr, Chicago, IL 60611

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