financial services compliance professionals
and the long-term success of the
compliance profession.
Your Full Potential
NSCP Educational Seminars and select
Regulatory Interchange Webinars
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.
Over the past year, The National Society of Compliance Professionals (NSCP), through its Regulatory Advisory Committee, reviewed the issue of Chief Compliance Officer (“CCO”) liability. To provide an industry perspective, NSCP conducted member surveys to assess members’ views on CCO liability and CCO empowerment and resources. As a result, the Regulatory Advisory Committee developed the NSCP Firm and CCO Liability Framework (“NSCP Framework”). The NSCP Framework provides a practical approach to CCO liability, which complements the New York City Bar Association White Paper on CCO Liability (“NYCBA White Paper”). Read together, the NSCP Framework and NYCBA White Paper provide real-world perspective regarding perceived CCO liability issues and offer guidance to regulators, CCOs, and firms regarding a legal framework for analyzing actual CCO liability while promoting investor protection and market integrity.
Special thanks to Regulatory Advisory Committee members Genna Garver, Patrick Hayes, Steven Hansen, Brian Rubin, Robert Saperstein and Heather Traeger for their leadership on this project.
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Are you an expert on a particular compliance topic, or do you have extensive experience in a certain area? Do you enjoy speaking on panels, facilitating discussion sessions, or teaching compliance skills?
We are seeking dynamic and innovative speakers for our 2022 virtual and in-person events. Please complete our Speaker Survey to be considered for future speaking opportunities at upcoming conferences.
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If speaking is a new skill you would like to learn, view our Speaker Training Program to hear helpful advice and best practices from NSCP’s veteran speakers. These videos are available for NSCP members only.
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