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.
2019 NSCP National Conference
Hilton Baltimore, Maryland | October 21-23, 2019
Come discover why over 800 compliance professionals gather each year for three days of industry leading educational and networking opportunities.
NSCP News & Updates:
Take a look at our Day 1 Agenda
The NSCP National Conference allows you to maximize the time you spend away from the office through comprehensive coverage of the topics that impact your daily business, practical take-aways, insights into meaningful solutions, and many opportunities for making new professional connections. Here’s a sneak peak at a few of our sessions on day 1 of the conference:- 5 Components of Extraordinary Teams keynote
- Regulatory Review & Enforcement panels
- The 2020 GIPS Standards
- Anti-corruption, Bribery & Fraud Issues
- Compliance’s Role in ESG Investing and Corporate Engagement
- Creating Effective Supervision Structures
- When Legal & Ethical Considerations Collide
- Small Firm Decisions: Outsource or Automate?
- Supporting Women in Compliance
- Conducting a Mock Exam
- FinTech & RegTech Innovations
- And much more
We have established the NSCP Compliance Education Scholarship in memory of those members who have passed. Their dedication and contributions make up the foundation of the NSCP organization and its continued success.
The NSCP Compliance Education Scholarship is designed to benefit those professionals new to the securities compliance industry by offering educational tools to better enhance their knowledge and skill sets within the compliance industry.
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The recording from the NSCP Spring Conference held in Chicago on April 30th is available to purchase. Included in this informative event are materials and the video from the following tracks:
- Track A: Building Core Competencies – BD/IA Training for New Compliance Professionals
- Track B: Today’s Issues and Insights – Coverage for Seasoned Professionals
Member Recording Price: $300 per track Non-Member Recording Price: $375 per track
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Don't miss this Webinar on Wednesday, May 8th from 2:00pm–3:00pm EST
Join NSCP and Alaric Compliance Services, LLC for a free webinar discussion on business development companies, the second in our three-part series on Credit Products.
The demand for alternative pooled and/or structured credit products such as Business Development Companies (BDCs), Collateralized Loan Obligation (CLO) vehicles and privately offered alternative credit funds has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks. This accelerating trend is reducing traditional credit exposure and effectively replacing it with exposure to alternative credit strategies and products.
This webinar, the second in a three-part series, will discuss the following topics pertaining to Business Development Companies:
- The origin and unique status of BDCs under the 1940 Act
- Differences between the various types of BDCs
- Key aspects of the hybrid 1940 Act investment company and 1934 Act reporting operating company regulatory treatment of BDCs
- Everyday compliance issues regarding the investment, operating and marketing activities of BDCs
- SEC focus areas
The panelists for this discussion include Guy Talarico, CEO and Founder, Alaric Compliance Services, Carl Rizzo, Director, Alaric Compliance Services and Joseph Hanlon, Chief Compliance Officer, Crescent Capital Group LP.
The third presentation in this series will address topics regarding Collaterized Loan Obligations and is scheduled for June.
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