NRS Fall Compliance Conference 2019 | NRS | 15 October 2019 | Hyatt Regency, 21500 Pacific Coast Hwy, Huntington Beach, CA 92648, USA

Join NRS at our Fall 2019 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.

I depend upon my partners in compliance, NRS, to keep me informed + updated on rule changes from myriad regulatory entities. Their Spring and Fall compliance conferences are instrumental in this process. Knowledgeable speakers are willing to share their expertise and always have with take- aways and a to do list. I make it a priority to attend at least one NRS conference each year! - NRS Spring 2018 Conference Attendee

NRS provides a class-act conference geared towards arming the compliance professional with tools and resources. - NRS Spring 2018 Conference Attendee

The NRS Compliance Conference was filled with the latest information available and gave very good ideas about writing policies, implementing rules and taking that information to educate employees of the firm. - NRS Spring 2018 Conference Attendee

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

2019 Speakers

Drew Ahrens
Senior Consultant, NRS

Christopher Arthur
Chief Compliance Officer, RDA Financial Network

Matthew Baskir
Consultant, NRS

Bill Beatty
Board of Directors, NASAA

Thomas Coonan
Consultant, NRS

Tanya Cooper
Forensic Accountant, Federal Bureau of Investigation LA Field Office

Mederic Daigneault
Senior Director, Consulting Operations, NRS

Jerry Dougherty
Associate District Director, FINRA

Deborah Eades
Shareholder, Vedder Price P. C.

Matt Fitzgerald
Chief Compliance Officer, PGIM Fixed Income

Marco Fuentes
Chief Compliance Officer, J.W. Cole Financial Inc. and J.W. Cole Advisers

Genna Garver
Of Counsel, Chair Investment Management Group, Troutman Sanders LLP

Kelley Howes
Of Counsel, Morrison & Foerster

Cherie Jolly
CCO, Dynamic Wealth Advisors

Nicole Kalajian
Counsel, Stradley Ronon Stevens & Young

Richard Kerr
Partner, K&L Gates LLP

Elizabeth Knoblock
Managing Member, Elizabeth M. Knoblock, PLLC

Donald K. Lopezi
Senior Vice President and Regional Director, FINRA West Region

David H. Lui
Principal, Galliard Capital Management, Inc.

Ish Manzanares
Senior Director, Consulting, NRS

Richard Marshall
Partner, Katten Muchin Rosenman LLP

Michael McGrath
Partner, K&L Gates LLP

Marilyn Miles
Vice President, Consulting & Education, NRS

Larry Nakamura
Senior Regulatory Consultant, NRS

Jahan Raissi
Partner, Shartsis Friese LLP

Brendan Roberts
Consultant, NRS

Kristin Snyder
National Associate Director of the IA Exam Program, Office of Compliance Inspections and Examinations

Tara Stevenson
Consultant, NRS

Robert Stirling
Executive Consultant, NRS

Amber Tatman
Consultant, NRS

Kevin Turton
Consultant, NRS

John Van Der Wal
Consultant, NRS

Eric R. Vercauteren
Senior Counsel, Citi Private Bank Legal Department

Kurt Wachholz
Director Education, NRS

John H. Walsh
Partner, Eversheds Sutherland (US) LLP

Emily Zerbato
Compliance Analyst, LifePro Asset Management LLC

2019 Sponsors

• Broadridge
• Chalice Financial Network
• Chicago Learning
• Mercer
• Pratum
• Southern California Compliance Group
• Starkweather & Shepley
• TD Ameritrade