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
Learn more about NSCP’s upcoming Regulatory Interchanges and Spring Conference.
NSCP News & Updates:
Don't miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST
Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join us to learn what you need to know for your practice or in-house compliance responsibilities.
Topics will include:
- The standards of care debate: Regulation BI, State and NASAA perspectives, State AG litigation, and what’s next
- State privacy and data protection laws
- Senior and vulnerable investors and Senior Safe Laws: the interaction between federal and state frameworks
- Early indications of a nascent NASAA regulatory initiative on continuing education for investment adviser representatives
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Are you interested in having your company featured in front of thousands of legal and compliance professionals next month? Do you want to help take your career to the next level? Get your name out there and show off your industry expertise by submitting an article to NSCP Currents!
The Publications Committee is currently seeking commentary on the following topics:
- Reg BI
- FINRA Notice 19-18 and Potential Red Flags List
- Conflicts of Interest
- ERISA Regulations
- Due Diligence of 3rd Parties
- Multi-Branch Advisors
- Important Soft Skills for Industry Professionals
- Suitability/Regulation Best Interest
- Tech Terms for Compliance Officers (101)
- Technology – Cybersecurity, FinTech, RegTech, Artificial Intelligence and Cryptocurrency
The industry's source for the thoughtful analysis of current events
NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:
- SEC “cherry picking” case against CCO
- Adviser improperly charged fees to inactive accounts
- NASAA annual enforcement report
Beyond that, our members are discussing these topics:
- State blue sky registration
- Annual due inquiry under Custody Rule
- Approval for outside business activities
Register now for the NSCP National Conference.
Check out the conference agenda for a wide variety of educational topics.
2019 NSCP National Conference
Hilton Baltimore, Maryland
October 21-23, 2019
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