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 National Conference
OMIN Atlanta Hotel at CNN Center, October 29–31
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The only conference that’s “For Compliance, By Compliance.” Network and focus on the practical solutions to empower yourself and your compliance program.
NSCP News & Updates:
Who would have thought 10 years ago that compliance professionals would need to become pseudo experts on cybersecurity and other technological advances? Compliance professionals must be forward thinkers, willing and able to identify, prepare for, and respond to emerging trends in all areas of the business. Don't miss our Technology Tuesday keynote address, featuring award-winning financial advisor, Ric Edelman, who will reveal how exponential technologies will alter virtually every aspect of your life — with profound implications for your personal finances. REGISTER NOW
Have you ever known someone who was so driven to succeed that they would do so by any means necessary? As Compliance Professionals, many would describe themselves as skeptics by nature. What happens when someone’s drive to succeed outweighs their desire to ask one more question? Join us for our opening keynote address featuring Rashmi Airan, a first-generation immigrant of Indian parents and the oldest of three daughters, who was raised with high expectations to achieve. Having both professional and personal pressures, Rashmi aspired to become a successful lawyer graduating with honors from Columbia University. During the housing boom, she was recruited to work with a local real-estate developer who later engaged in questionable business practices. Rashmi’s drive to succeed financially and to give her children the best life possible created an ethical blind spot for her. REGISTER NOW
This month’s feature Podcast is Elizabeth Cope’s “How to Master the Annual Review and Promote a Culture of Compliance: Part 2 Testing and Reviews“ Join us as we continue to explore the next step in the Annual Review process. “How to Master the Annual Review and Promote a Culture of Compliance“ is a 3-part series where you will learn how to develop an annual review to work for you instead of against you, how to make it realistic to implement and manage and how to make is support the operations and ever-changing needs of your firm, as opposed to being just another thing you have to do to meet regulatory requirements. This series will cover, step by step, how to develop your risk assessment, how to decide what needs to be tested, how to schedule when the testing occurs, how to document your testing and how to present that documentation to the regulators. You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews! GET IT HERE
NSCP Regulatory Recap Find out what was discussed when NSCP met with FINRA President and CEO Robert Cook last month.
On June 25, 2018 representatives of NSCP had the opportunity to conduct a follow up meeting with FINRA President and CEO Robert Cook, who was joined by representatives from Member Relations and Education, Member Supervision and Enforcement divisions.
Key conversation points included:
- WORM Storage
- Outside Business Activities & Private Securities Transactions
- Remote Office Inspections
- CE Program Options – Maintaining Qualifications
- Technology Regulations
- CCO Liability
- Mutual Fund Share Class Disclosure Initiative
