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
- 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:
Early Bird Discount Available Until March 29th
Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange (April 30 – May 1) in Chicago.
Spring Conference Rates*:
Members $375 | Non-members $570
(*higher rates after March 29th)
Regulatory Interchange Rates:
Members $75 | Non-members $150
$40 Discount will be applied if attending both events
[av_button label='LEARN MORE & REGISTER' link='manually,https://nscpconferences.org/event-category/chicago/' 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='']April 2, 2019 in New York City: Members $75.00 | Non Members $150.00
The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees.
Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!
*This event is closed to members of the press.
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This month’s feature Podcast is Brad Anderson & Craig Watanabe's “Business Email Compromise ("BEC").”
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.
NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:
- FINRA’s 529 Share Class initiative
- FINRA’s 2019 Annual Risk Monitoring and Examinations Priorities letter SEC brings charges in Edgar Hacking case
Beyond that, our members are discussing these topics:
- Email Review – Access to Executive Management Emails
- Social Media Archiving
- Accepting Trades Via Email
It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.
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