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.
2018 NSCP National Conference
OMIN Atlanta Hotel at CNN Center, October 29–31
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The only conference that’s “For Compliance, By Compliance.” Network and focus on the practical solutions to empower yourself and your compliance program.
NSCP News & Updates:
Summer is upon us! Before we fire up the BBQs and rush out the doors for our family vacations, we here at NSCP want to thank you, our members, for the great work that’s been completed in Q2! READ THE NEWSLETTER
This month’s feature Podcast is Elizabeth Cope’s “How to Master the Annual Review and Promote a Culture of Compliance“ Join us as we demystify the Annual Review process. “How to Master the Annual Review and Promote a Culture of Compliance“ is Part 1 of a 3-part series where you will learn how to develop an annual review to work for you instead of against you, how to make it realistic to implement and manage and how to make is support the operations and ever-changing needs of your firm, as opposed to being just another thing you have to do to meet regulatory requirements. This series will cover, step by step, how to develop your risk assessment, how to decide what needs to be tested, how to schedule when the testing occurs, how to document your testing and how to present that documentation to the regulators. You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews! GET IT HERE
NSCP Regulatory Recaps Find out what was discussed when NSCP met with SEC Chairman Jay Clayton and Commissioner Hester Peirce last month.
On May 21, 2018 representatives of NSCP had the opportunity to conduct a follow up meeting with SEC Chairman Jay Clayton and an introductory meeting with Commissioner Hester Peirce.
Key conversation points with Chairman Clayton included:
- Cost of Compliance
- Regulator Best Interest
- Investment Adviser Expectations
- Small Business Audit Correction Act of 2018
- CCO Liability
- “Regulation by Enforcement”
- Interactions with OCIE
This month’s feature Podcast is Eversheds Sutherland’s “Connecting the dots: The SEC’s proposed rules on the standard of conduct for investment professionals – a quick guide to what you need to know.“ What just happened? – find out here. You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews! GET IT HERE
