Webinars

Upcoming NSCP Webinars

How Best to Work with Compliance Consultants

Thursday, December 13th from 2:30 – 3:30 pm EST

On December 13th, NSCP invites you to join us for a webinar as panelists from BasisCode Compliance, SEC3 and Cipperman Compliance share strategies on how to best utilize compliance consultants. This presentation will explore questions including:

  • When should you consider hiring a third-party compliance consultant?
  • What type of work can a compliance consultant perform?
  • What should you consider when hiring a consultant?
  • How to find a suitable consultant for your business?
  • What are the differences between a fully-outsourced consulting relationship versus project support?
  • How to maximize the value gained from your consulting relationship

And much more!

Case Studies on How to Address Transparency and Disclosure Issues

Tuesday, February 12th from 2:00 – 3:00 pm EST

On February 12th, NSCP invites you to join us for a webinar as panelists from Warburton Advisors discuss anti-fraud regulatory developments and disclosure debates including a recent petition to the SEC regarding mandatory ESG disclosures.

Will you be our next co-host?

If you’re interested in learning more about co-hosting an upcoming webinar with NSCP, we invite you to review the NSCP Webinar Guidelines and submit your proposal for consideration.

NSCP Webinars

You must be logged into the Member Center to access the archived webinars. Please login and then click the Resource Library tab in the Member Center to find the Webinar Archive Folder

2018 Webinars

  • SEC’s Share Class Disclosure Initiative Webinar
  • Form ADV Workshop with K&E
  • How to Manage Compliance Turnover and Remain Audit Ready
  • Emerging Technologies – Existing Regulation
  • The SEC’s Proposed Standard of Conduct Rules for Broker-Dealers and Investment Advisers

2017 Webinars

  • SEC Rule 17-h Risk Assessment and Recordkeeping Requirement
  • CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
  • Leave It to the States: Compliance and Registration Priorities for BDs/IAs
  • Ethical Decision Making – Recognizing Issues
  • MiFID II – US Asset Managers Brace for Impact
  • Discussion of Results: NSCP / ACA Aponix Cyber Survey
  • The New Normal: Business Continuity, Disaster Recovery & Cybersecurity
  • Why the Financial Services Industry Can’t Ignore Text Messaging

2016 Webinars

  • Trade Compliance Through the Lifecycle of a Trade
  • Last Chance: Impact of ERISA Fiduciary
  • Regulation
  • MCDC Disclosure Obligations
  • Simplifying Regulatory Change Management by Leveraging Integrated Content and Technology
  • FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds
  • Final Look at DOL Fiduciary Proposal – A Game Changer
  • Blind Spots in Operational Risk Webinar
  • Who Is the New Twenty-first-Century CCO? Current Issues in CCO Liability
  • Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision Liability
  • Creating and Executing Effective, Customized Branch Examinations
  • The DOL Rule: What You Need to Know Now
  • Cybersecurity – Vendor Due Diligence
  • 5 Things Every Compliance Officer Should Know About Trade-Based Money Laundering Risks
  • CyberSecurity Risk Management Process – Evaluating Risks and Strengthening Governance