NSCP News & Updates:
This month’s feature Podcast is Patrick Hayes’ “Current Trends in SEC Exams – What to Expect”. If you haven’t been examined in a while, listen in to help you identify key risk areas affecting your firm to help ensure your firm puts its best foot forward the next time the SEC comes in to kick the tires. You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews! GET IT HERE NSCP Currents Podcast is now also available on Spotify. If you have an account, just search “NSCP” and subscribe today.
Featuring: The Honorable Hester M. Peirce, Commissioner, Securities and Exchange CommissionJoin us for Tuesday’s luncheon at the NSCP National Conference when Commissioner Peirce shares her views on the importance of the SEC’s inspections and examination program, the role that compliance officers play in ensuring that our capital markets work efficiently, and the ways in which the SEC can help compliance officers be more effective. She will be happy to entertain questions. REGISTER NOW
Who would have thought 10 years ago that compliance professionals would need to become pseudo experts on cybersecurity and other technological advances? Compliance professionals must be forward thinkers, willing and able to identify, prepare for, and respond to emerging trends in all areas of the business. Don't miss our Technology Tuesday keynote address, featuring award-winning financial advisor, Ric Edelman, who will reveal how exponential technologies will alter virtually every aspect of your life — with profound implications for your personal finances. REGISTER NOW
Have you ever known someone who was so driven to succeed that they would do so by any means necessary? As Compliance Professionals, many would describe themselves as skeptics by nature. What happens when someone’s drive to succeed outweighs their desire to ask one more question? Join us for our opening keynote address featuring Rashmi Airan, a first-generation immigrant of Indian parents and the oldest of three daughters, who was raised with high expectations to achieve. Having both professional and personal pressures, Rashmi aspired to become a successful lawyer graduating with honors from Columbia University. During the housing boom, she was recruited to work with a local real-estate developer who later engaged in questionable business practices. Rashmi’s drive to succeed financially and to give her children the best life possible created an ethical blind spot for her. REGISTER NOW