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The Challenge

Creating effective procedures and documentation that meet regulatory requirements while also seeking to prevent insider trading within an organization. Manual collection and review of personal trading activity data as well as required reporting is often an arduous process; ineffective, cumbersome and error prone.

The NRS Solution

Our Personal Securities Trading Module will automatically apply your personal securities trading policies as described in your code of ethics, against requested personal trades as well as executed trades. This module will automate the approval, denial and manual review process and will flag trading activity that is non-compliant for resolution.  The Best Approach – Technology Paired with Consulting Routing out illegal insider trading continues to be a high priority for the SEC’s enforcement program. The Commission has provided the mechanisms for protecting against  personal trading abuses, including insider trading, in the prohibitions, review requirements and guidelines of the Code of Ethics Rule. It is up to each registered investment adviser to put them to effective use. The NRS Personal Securities Module helps you comply with this rule by pairing world-class technology with the proven proficiency of our regulatory consultants. NRS technology can manage the time and resource intensive comparisons while pinpointing red flags. Then our consultants can analyze the data and make sure the firm’s code of ethics are abided by.

To request a free demo please visit:

http://www.nrs-inc.com/PersonalTrading

 

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5th Edition Model Risk Conference

January 26-28, 2015 San Francisco, CA

Contact: Tyler Kelch, Marketing & PR Coordinator | E: tylerke@global-fmi.com | T: 312.894.6310

For more information on the event please visit: http://www.global-fmi.com/marcusevans-conferences-event-details.asp?EventID=21608&SectorID=2&utm_source=CompliancEX&utm_medium=banner&utm_campaign=21608_CompliancEX_banner 

 

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Join Financial Research Associates on February 17, 2015 at the Princeton Club in New York, for an insider event that will bring together chief compliance officers as well as in-house general counsel and chief financial officers to address the challenges posed by an environment where the regulatory burden means costly fines and severely damaged reputations.

For more details please visit: https://www.frallc.com/conference.aspx?ccode=B9350

 

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Cyber Risk & Insurance Super Conference

Protecting Corporate Reputation while Navigating through an Evolving Regulatory Landscape, Complexities of Coverage and Technological Challenges

24-26 Feb 2014 Washington D.C. Metro Area, United States of America

For more details please visit: http://bit.ly/1xysRKa

 

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9th Annual Capital Allocation and Stress Testing Conference

Quantifying Operational Performance to Establish a Productivity-Based Capital Management Plan

24-25 Feb 2015 , Millennium Broadway Hotel – New York City, NY, United States of America

For more information please visit: http://bit.ly/1xytinL

 

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Innovation in Cash Management in LATAM

Optimizing Cash Management in a Fragmented and Restrictive Environment

5-6 Mar 2015 Miami, FL, United States of America

For more information please visit: http://bit.ly/1sYBcKl

Strategic and Operational Challenges Within Volcker Rule Compliance

Overcoming Strategic and Operational Challenges to Efficiently Meet the Volcker Rule Reporting Deadlines

9-11 Mar 2015 New York, NY, United States of America

For more details please visit: http://bit.ly/1sYBReJ

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The Hedge Fund Pacific Investor Forum is a one day meeting of family offices, pension funds, endowments, foundations, consultants and fund of funds in California, Oregon, Washington, Alaska and Hawaii. The event provides educational updates on contemporary hedge fund, opportunistic & structured credit investments and asset allocation & portfolio construction strategies for institutional and private clients.

For more information please visit: http://bit.ly/1sYCB3J

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Attend THE industry resource for the liquid alternatives universe- Liquid Alts 2015, April 20-21 at the Princeton Club NY! Get exclusive intel on everything from fund structures and allocation strategies to distribution opportunities and beyond.

 

Subscribers of Compliance Search Group are entitled to a 15% discount. Mention FMP173 during registration to enjoy this offer. For more information, please contact Kathie Eberhard at 704-341-2439 or keberhard@frallc.com

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Co-Investing 2015, an interactive forum, jumps right into the fray, highlighting the biggest challenges and concerns in this growing trend.  Due diligence on deals and sponsors, governance, investor rights, regulatory concern, valuation, and recordkeeping—it all changes in co-investing.  Register today and join us at the Princeton Club of New York on April 27  28, 2015 to get the most out of your co-investment deals! ! Subscribers of Compliance Search Group are entitled to a 15% discount. Mention FMP173 during registration to enjoy this offer. For more information, please contact Joshua Price at 704-341-2441 or jprice@frallc.com.

 

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The 5th Annual Hedge Fund Brazil Forum is Latin America’s most specialized international meeting of hedge funds, long only funds, Brazilian pension funds, Latin American pension funds, Latin American family offices and global endowments, foundations, sovereign wealth funds and pension funds. Now in its fifth year, the program delivers cutting edge due diligence for investors and managers alike on key questions such as hedge fund asset allocation among Brazilian as well as global pension funds, E&F, family offices and fund of funds, hedge fund regulation in Brazil and key considerations in operational and manager due diligence and economic and hedge fund strategy trends in Brazil, Argentina, Uruguay, Colombia, Mexico, Chile and Peru.

For more information please visit: http://bit.ly/1sYCV2c

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The Hedge Fund Texas Investor Forum is a one day meeting of family offices, pension funds, endowments, foundations, consultants and fund of funds in Texas.  The event provides educational updates on contemporary hedge fund, opportunistic & structured credit investments and asset allocation & portfolio construction strategies for institutional and private clients.

For more details on the event please go to: http://bit.ly/1sYD8lX

 

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The Hedge Fund Americas Forum gathers the brightest minds in the inter-American investor and hedge fund communities to explore the ever-evolving liquid alternatives investment landscape, share experiences, engage in constructive debate and work toward optimizing returns and aligning interests for investors and managers across the region. As a sponsor, speaker, guest or delegate of the Hedge Fund Americas Forum, you will have the opportunity to engage off the record with luminaries of the inter-American hedge fund and institutional investor communities in a private, personal setting where most of the delegates are end-investors.

For more information please visit: http://bit.ly/1sYDgCe

 

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The Hedge Fund Midwest Investor Forum is a one day meeting of family offices, pension funds, endowments, foundations, consultants and fund of funds in Illinois, Michigan, Indiana and Minnesota.  The event provides educational updates on contemporary hedge fund, opportunistic & structured credit investments and asset allocation & portfolio construction strategies for institutional and private clients.
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For more information please visit: http://bit.ly/1sYDp8E