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.
2020 NSCP Events
Save the Date for Upcoming Events:
- March 3: Newport Beach Regulatory Interchange
- March 18: Denver Regulatory Interchange
- March 31: Atlanta Regulatory Interchange
- March 31: New York Regulatory Interchange
- April 20: Chicago Spring Conference
- April 21: Chicago Regulatory Interchange
NSCP News & Updates:
Don’t miss this opportunity to interact with regulators and hear about the latest regulatory initiatives on March 3rd in Newport Beach, CA.
The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with both FINRA and SEC regulators. Facilitated by industry professionals, attendees will meet and discuss the issues most pressing to them. [av_button label='REGISTER TODAY' link='manually,https://nscpconferences.org/events/regulatory-interchange-newport-beach/' 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='']
Once upon a time, there was a misconception of what it meant to be a volunteer…
Yes, while certain volunteer opportunities are project-based and may require a significant donation of time and energy, others are as simple as being engaged.
NSCP’s industry forums are not just a member benefit. When you volunteer your time by participating in any of the online discussion forums or by submitting agenda items to be discussed, you’re engaging in a community. Sharing your time and expertise results in professional connections, mutual learning and it benefits the entire compliance community.
If you’re not already participating in the forums appropriate for your business model, we encourage you to do so. Now is the time to join the calls and the online discussion forums. Your peers will thank you!
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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.
[av_button label='LEARN MORE' link='manually,https://mailchi.mp/dda956ed673c/nscp-can-help-you-with-a-wide-range-of-compliance-resources' 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='']
As the fourth quarter of 2019 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.
So what happened?
Our members discussed these topics in the Compliance Forum:
- Annual due inquiry under Custody Rule
- Background checks on companies and individuals
- Naming private funds in Form ADV part 2A
- FINRA fines representative for impersonating a client in calls to mutual fund company
- States announce new sweep on cryptocurrencies
- FINRA requests comment on rules and issues relating to senior investors
- Changes at the MSRB
- MSRB rule G-17
- Web-scraping: HIQLabs, Inc. v. LinkedIn Corp.
