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 Conferences & Regulatory Interchanges
San Francisco, CA
- May 3, 2018 – NSCP Spring Conference, Schwab Center
- May 4, 2018 – Regulatory Interchange with the SEC, Schwab Center
Chicago, IL
- June 4, 2018 – NSCP Spring Conference, Federal Reserve Bank
- June 5, 2018 – Regulatory Interchange with SEC, NFA and MSRB, Federal Reserve Bank
NSCP News & Updates:
Don't miss this Webinar on Tuesday, May 1 at 3:00 pm EST
Innovation always outpaces regulation. This means that firms have a constant struggle to balance the fear of being left behind by market innovators against the risk of a regulatory action. Join us to understand how to analyze and implement emerging technologies in today’s regulatory framework. Speakers include:- Buddy Doyle, CEO at Oyster Consulting, LLC
- John (Jack) Hewitt, Partner at Pastore & Dailey LLC
- Peter Antonucci, Managing Director, Pershing Technology, Pershing LLC, a BNY Mellon Company
It's time to let your voice be heard!
Last year, you helped us design and define our community vehicle “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. This year, we’re asking you to use it! In preparation of our meeting with SEC Chairman, Jay Clayton, on May 21st we want to hear from you so that we can help tell your story.- Are there rules that are no longer meeting the objective of investor-protection, by reasonably efficient means, that you would like the SEC to review?
- CCO liability is still an active topic in our Industry Forums – what’s keeping you up at night?
- Looking ahead to the second half of 2018, what do you think the Commission needs to address?
Don't miss this Webinar on Tuesday, April 10 at 3:00 pm EST
Being prepared for the unexpected, including department turnover, is a challenge all CCO’s must anticipate. Join us for this presentation that will explore:- Most Common CCO Turnover Scenarios
- Where compliance breakdowns occur in a CCO continuity setting
- Examples of good and bad CCO turnover planning
- How to test for audit readiness in the face of compliance turnover
- Impact of turnover on costs – knowing where everything is and how it works; costs for onboarding new staff
- How CCO Turnover can present ongoing risks and future liabilities
For NSCP, the start of the year provides an opportunity to reprioritize the initiatives for the year ahead. As first quarter 2018 comes to a conclusion, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. READ THE NEWSLETTER
