The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.
Become A Member & Unleash Your Full Potential
Discover the wealth of compliance expertise and best practices in the pages of our regular publications, member center, forums and through networking with your fellow peers.
We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.
NSCP 2019 Spring Events
Don’t miss these NSCP Spring Events – registration to open in January
- March 4 – Regulatory Interchange in Miami, FL
- April 2 – Regulatory Interchange in New York, NY
- April 30 – May 1 – Spring Conference and Regulatory Interchange in Chicago, IL
*The Spring Conference will offer two training tracks, designed for new and for seasoned professionals:
- TRACK 1: Building Core Competencies – BD & IA Training for New Compliance Professionals
- TRACK 2: Today’s Issues and Insights – Coverage for Seasoned Professionals
NSCP News & Updates:
Everything You Want to Know About Alternative Credit Funds
Don't miss this Webinar on Tuesday, February 5th from 2:00pm–3:00pm EST
Join the National Society of Compliance Professionals (NSCP) and Alaric Compliance Services, LLC for a free webinar discussion on Alternative Credit Funds, the first in a series on Credit Products.
The demand for alternative pooled and/or structured credit products such as private funds, Business Development Companies (BDCs) and Collateralized Loan Obligation (CLO) vehicles, affording exposure to a growing spectrum of liquid as well as less liquid credit-based investment instruments has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks reducing traditional credit exposure and replacing it, (treating “credit” as an asset class) with exposure to alternative credit strategies and products.
The complexity and varying liquidity and risk profiles of these products presents a number of compliance issues requiring the customization of compliance programs of SEC registered asset managers’ active in this space.
The panelists for this discussion include Guy Talarico, CEO and Founder, Alaric Compliance Services, Carl Rizzo, Director, Alaric Compliance Services and Joseph McDermott, FRM, Compliance Manager, THL Credit.
This webinar, the first in a three-part series, will discuss the following topics pertaining particularly to privately-offered alternative credit investment funds:
- Credit as an Asset Class
- Alternative Credit Strategies, Market Participants, Sourcing/Investment Process
- Private Fund Structuring
- Key Regulatory and Operational Compliance Issues
- SEC Examination Readiness
The second and third presentations in the series will address, respectively, topics regarding BDCs and CLOs, dates to be announced.
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Cash Solicitation Rule for Investment Advisers – OCIE Risk Alert and Traps for the Unwary
Don't miss this Webinar on Friday, February 8th from 2:00pm–3:00pm EST
NSCP and Hardin Compliance Consulting will host a lively discussion to include referral arrangements for investment advisers and traps for the unwary. Join Jennifer Relien, General Counsel & Chief Compliance Officer for Prosperity Capital Advisors and Valor Capital Management, and Jaqueline Hummel, Partner and Managing Director, Hardin Compliance Consulting, for a discussion on the SEC’s recent “Risk Alert on Cash Solicitation Arrangements.” Jennifer and Jacqueline will share practical tips on how to set up, test and monitor on-going referral relationships.
REGISTER >
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SEC Commissioner Peirce’s Address at the National Conference offers an optimistic view on the importance of the role of Compliance. MORE INFORMATION HERE
This month’s feature Podcast will be Elizabeth Cope’s Part 3 conclusion to the “How to Master the Annual Review and Promote a Culture of Compliance” series. Join us to find out how to wrap it all up! 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.
