NRS Fall 2018 Compliance Conference
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11/5/2018 to 11/8/2018
When: Monday, November 5, 2018
Where: Park Hyatt Aviara Resort
7100 Aviara Resort Drive
Carlsbad, California  92011
United States

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NRS Fall 2018 Compliance Conference

November 5 – 8, 2018


Park Hyatt Aviara Resort
7100 Aviara Resort
Carlsbad, CA 92011


Join NRS at our Fall 2018 Compliance Conference where industry experts will address how investment adviser and broker-dealer firms can successfully navigate the disruptive currents of regulatory change and adapt procedures to compliance programs.


Conference attendees have included:

  • Chief Compliance Officers / Investment Advisers / General Counsels / Broker-Dealers
  • Managing Directors / Chief Financial Officers / Regulatory Analysts / Wealth Advisors / Attorneys
  • Portfolio Managers / Securities Examiners / Executive Vice President’s / Compliance Managers
  • Financial Planners / Operations Managers / Traders / Financial Service Professionals



  • Perspective from Regulators
  • Elder Financial Exploitation and Compliance Considerations
  • Closing the Circle in Advertising, Contracts, Disclosures, and Procedures
  • Recent Trends in Investment Adviser Enforcement Proceedings
  • Professional Ethics: Ethical Decision-Making for Compliance Professionals
  • Large-Scale Natural Disasters – Should you Plan for the Unprecedented?
  • Critical Skills for High-Performance Compliance Professionals
  • Compliance Considerations related to BlockChain and Cryptocurrencies
  • GDPR Essentials Post Compliance Deadline
  • Regulatory and Examination Review on Cybersecurity
  • Cybersecurity from a CISO Viewpoint
  • Vulnerability Scans and Penetration Testing and other cybersecurity tools
  • Vendor Due Diligence for Cybersecurity Programs
  • Social Media from Profiles to Procedures

Already a CalALTs Member? Log-in and visit the Offers & Discounts page to learn how to get $100 of your ticket.


Visit NRS online to learn more.

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