NSCP News & Updates:
Don't miss this Webinar on Tuesday, May 1 at 3:00 pm ESTInnovation 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 ESTBeing 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