NSCP News & Updates:
"For Compliance, by Compliance" Realized at the National ConferenceCheck out our full line-up of conference speakers on the agenda. [av_button label='VIEW AGENDA' link='manually,https://national.nscpconferences.org/agenda/' link_target='' size='small' position='left' icon_select='no' icon='ue800' font='entypo-fontello' color='theme-color' custom_bg='#444444' custom_font='#ffffff' custom_class='' admin_preview_bg='']
This month’s feature Podcast is Janaya Moscony's “The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting.” You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: Apple iTunes | Google Play | Stitcher NSCP Currents Podcast is also available on Spotify. If you have an account, just search “NSCP” and subscribe today.
The NSCP National Conference offers a unique and interactive learning environment in lab sessions, BUT, seating is limited…Labs are hands-on learning sessions designed to provide real life application where attendees engage in discussions, share their thoughts and experiences, and benefit from mutual learning. Labs are effective for stimulating a dynamic learning environment with active participation from attendees and the sharing of practical and useful tools.
- Compliance’s Role in ESG Investing and Corporate Engagement
- When is an Advertisement Deemed to be Misleading?
- Roadmap to Conducting Annual Compliance Reviews
- Regulatory Exams: Best Preparation
- Records Management
- Testing the Written Policies & Procedures
- Risk Identification & Creating a Risk Matrix
- Financial Forensics
- Initial and On-going Vendor Due Diligence and Oversight
- Conducting a Mock Exam
- Conflicts of Interest & Employee Reporting Requirements
- Social Media Networking for Compliance Officers