NSCP News & Updates:
Don't miss this Webinar on Tuesday, July 30th from 2:00pm–3:00pm ESTThe Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving business models. This annual evaluation process allows firms to examine what they are doing, how they’re doing it, the efficacy of their procedures, allowing firms the opportunity to report and adjust for any risks or gaps within their compliance program. But how do you know if your testing within your annual review is right and accurate? And are you really testing “everything”? Is there a “risk stone” unturned that you may not have noticed? Tina Mitchell (Lead Sr. Compliance Consultant, Core Compliance) and Matt Lovett (Chief Compliance Officer, Brookstone Capital Management) will provide their key industry insights to assist firms in enhancing their Annual Review process. Our panelists understand that navigating this process can be difficult and running the same tests from last year during your annual review isn’t enough. By attending the “Enhancing Your Annual Review Process” webinar, attendees will learn:
- How to assess and enhance your past annual review process
- Key considerations for your firm’s evaluation process
- Best practices to tackle the testing and surveillance process
- Tips of planning your firm’s next annual review
"For Compliance, by Compliance" Realized at the National ConferenceCheck out our full line-up of conference speakers on the agenda. [av_button label='VIEW AGENDA' link='manually,https://national.nscpconferences.org/agenda/' 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='']
This month’s feature Podcast is Janaya Moscony's “The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting.” You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: Apple iTunes | Google Play | Stitcher NSCP Currents Podcast is also available on Spotify. If you have an account, just search “NSCP” and subscribe today.
The NSCP National Conference offers a unique and interactive learning environment in lab sessions, BUT, seating is limited…Labs are hands-on learning sessions designed to provide real life application where attendees engage in discussions, share their thoughts and experiences, and benefit from mutual learning. Labs are effective for stimulating a dynamic learning environment with active participation from attendees and the sharing of practical and useful tools.
- Compliance’s Role in ESG Investing and Corporate Engagement
- When is an Advertisement Deemed to be Misleading?
- Roadmap to Conducting Annual Compliance Reviews
- Regulatory Exams: Best Preparation
- Records Management
- Testing the Written Policies & Procedures
- Risk Identification & Creating a Risk Matrix
- Financial Forensics
- Initial and On-going Vendor Due Diligence and Oversight
- Conducting a Mock Exam
- Conflicts of Interest & Employee Reporting Requirements
- Social Media Networking for Compliance Officers