NSCP News & Updates:
Don't miss this Webinar on Wednesday, May 9 at 2:30 pm ESTOn May 9th, NSCP invites you to join us for a webinar as attorneys from Eversheds Sutherland analyze the US Securities and Exchange Commission’s recently proposed changes to the investment advice standards, disclosures and interpretations for broker-dealers and investment advisers. These proposals would:
- Require registered investment advisers and registered broker-dealers to provide a brief relationship summary to retail investors
- Establish a standard of conduct for broker-dealers when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer
- Provide an interpretation regarding the fiduciary obligations of investment advisers
- What changes will broker-dealers need to make when recommending securities as a result of Regulation Best Interest
- What operational challenges will firms face with the disclosures required under the customer or client relationship summary (Form CRS)
- What will investment advisers need to do to differently to satisfy the SEC’s interpretation of the fiduciary obligations arising under the Advisers Act
Registration for the NSCP National Conference has Opened
You and 199 of your closest friends can register right now to take advantage of our Spring Sale Pricing!
- A robust line-up of keynotes and session topics for every industry focus and experience level
- Insights on actual practical applications for everyday compliance issues
- A full day of technology-focused compliance sessions
- A dynamic mix of session formats – from traditional panels to labs, forums and attendee talk groups
JH Award Nominations are due by June 1, 2018
The 2018 recipient will be announced and honored at the NSCP National Conference
- displays a strong commitment to excellence;
- consistently strives to enhance the compliance profession through their involvement and participation with NSCP;
- displays a positive attitude and has a commendable can-do approach;
- and distinguishes herself/himself as a key figure in the compliance community?
Listen to our latest episode,"Senior Exploitation from the Trenches.” The article was written by Z. Jane Riley, Chief Compliance Officer of The Leaders Group/TLG Advisors, Inc. and Carolyn Kasky, Managing Member of Compliance Support Services, LLC.
GET IT HERE
“As compliance professionals, we often have to wear many hats, from regulatory expert to personnel adviser and everything in between. Senior advocate has joined the roles we have to fill, and it is challenging to know how to respond to the issues raised. Unfortunately, there isn’t an all-inclusive handbook explaining how to respond to concerns about diminished capacity or vulnerable adult exploitation. A few weeks ago, though, I wished I had such a handbook! I received a call we all dread, an adviser telling me he was uncomfortable with what his client was asking him to do...”