NRS Fall 2021 Compliance Conference | NRS | 26 October 2021 | Park Hyatt Aviara Resort, Golf Club & Spa, 7100 Aviara Resort Drive, Carlsbad, CA 92011, US
Venue
Park Hyatt Aviara Resort, Golf Club & Spa
Park Hyatt Aviara Resort, Golf Club & Spa, 7100 Aviara Resort Drive, Carlsbad, CA 92011, US
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| Event Date |
Tue Oct 26 PDT - Thu Oct 28 PDT (about 3 years ago)
In your timezone (EST): Tue Oct 26 11:15am - Thu Oct 28 4:30pm |
| Location |
Park Hyatt Aviara Resort, Golf Club & Spa
7100 Aviara Resort Drive, Carlsbad, CA 92011, US |
| Region | Americas |
Details
Join NRS at our Fall 2021 Compliance Conference for Investment Advisers and Broker Dealers, where industry experts will address how 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
Speakers
2021 Speakers
Amber L. Tatman
Senior Consultant, Investment Adviser and Broker-Dealer Services, NRS
Andrew McElduff
Senior Director and Single Point of Accountability (SPOA) of Risk Monitoring, FINRA
Christopher Gerold
Bureau Chief, New Jersey Bureau of Securities
Courtney Bowling
Consultant, NRS
Craig Watanabe
Director IA Compliance, DFPG Investments, LLC
Daniel S. Kahl
Director of the Division of Examinations, U.S. Securities and Exchange Commission
David H. Lui
Co-Editor, Volume I and II, Modern Compliance
Drew A. Ahrens
Senior Consultant, NRS
Elizabeth M. Knoblock
Managing Member & Owner Elizabeth M. Knoblock, PLLC
Emily Zerbato, IACCP®
Chief Compliance Officer, Dowling & Yahnke, LLC
Ismael (Ish) Manzanares
Senior Director, Consulting, NRS
John Gebauer
President, NRS
John M. Van Der Wal
Senior Consultant, NRS
John Walsh
Partner, Eversheds Sutherland LLP and, Member, Securities Enforcement and Litigation Team
Kevin Turton
Consultant, NRS
Larry Nakamura
Vice President, Head of CI Private Wealth U.S. Compliance, CI Private Wealth U.S. | CI Financial Corp
Marilyn Miles
Vice President, Consulting & Education, NRS
Matthew J. Fitzgerald
Vice President, Chief Compliance Officer, PGIM Fixed Income
Mederic Daigneault
Senior Director, Consulting, NRS
Michael Cocanower
CEO, itSynergy
Michael McGrath
Partner, K&L Gates
Nicole Del Rosario
Consultant, NRS
Pamela Pendrell
Partner and Chief Compliance Officer, GlobeFlex Capital
Richard Marshall
Partner, KattenMuchinRosenman LLP
Rob Stirling
Executive Consultant, NRS
Steven D. Trigili, MBA, CAMS
Chief Compliance Officer, Garden State Securities, Inc.
Tom Coonan
Associate Consultant, NRS
Tonja Morgan
Deputy Chief Compliance Officer, Fundamentum Investment Management
Sponsors & Partners
2021 Sponsors
• BasisCode Compliance
• Becker & Poliakoff, LLP
• Broadridge
• Chicago Clearing
• Star Compliance
• Vise