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 Spring/Summer Conferences & Regulatory Interchanges
Chicago, IL
- June 4, 2018 – NSCP Spring Conference, Federal Reserve Bank
- June 5, 2018 – NSCP Regulatory Interchange with SEC, FINRA, NFA, Federal Reserve Bank
Denver, CO
- July 10, 2018 – NSCP Regulatory Interchange with SEC & FINRA, U.S. Securities and Exchange Commission Offices
NSCP News & Updates:
Don't miss this Webinar on Wednesday, May 9 at 2:30 pm EST
On May 9th, NSCP invites you to join us for a webinar as attorneys from Eversheds Sutherland analyze the US Securities and Exchange Commission’s recently proposed changes to the investment advice standards, disclosures and interpretations for broker-dealers and investment advisers. These proposals would:- Require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors
- Establish a standard of conduct for broker-dealers when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer
- Provide an interpretation regarding the fiduciary obligations of investment advisers
- What changes will broker-dealers need to make when recommending securities as a result of Regulation Best Interest
- What operational challenges will firms face with the disclosures required under the customer or client relationship summary (Form CRS)
- What will investment advisers need to do to differently to satisfy the SEC’s interpretation of the fiduciary obligations arising under the Advisers Act
Registration for the NSCP National Conference has Opened
You and 199 of your closest friends can register right now to take advantage of our Spring Sale Pricing!
The 30th Annual NSCP National Conference is here, and we can’t wait for you to join us in Atlanta!
Come discover why over 800 compliance professionals gather each year for three days of industry leading educational and networking opportunities.
You can expect:
- A robust line-up of keynotes and session topics for every industry focus and experience level
- Insights on actual practical applications for everyday compliance issues
- A full day of technology-focused compliance sessions
- A dynamic mix of session formats – from traditional panels to labs, forums and attendee talk groups
JH Award Nominations are due by June 1, 2018
The 2018 recipient will be announced and honored at the NSCP National Conference
Do you know someone who:
- displays a strong commitment to excellence;
- consistently strives to enhance the compliance profession through their involvement and participation with NSCP;
- displays a positive attitude and has a commendable can-do approach;
- and distinguishes herself/himself as a key figure in the compliance community?
Listen to our latest episode,"Senior Exploitation from the Trenches.” The article was written by Z. Jane Riley, Chief Compliance Officer of The Leaders Group/TLG Advisors, Inc. and Carolyn Kasky, Managing Member of Compliance Support Services, LLC.
GET IT HERE
