Patrick recently attended the NRS Investment Adviser Compliance Symposium in Boston. NRS is a leader in compliance for financial services firms. The conference focused on SEC regulation issues such as, Anti-Fraud, Custody, and Investment advisor act rules. Speakers at the event consisted of lawyers, CFA charters, and CCO that spoke about the code of Ethics and decision making.
The conference enabled professionals from all size firms to discuss current issues they faced along with possible solutions from the panel and peers. The NRS conference focused on current and upcoming issues and regulations regarding the SEC and the most effective to implement into the firm.