NSCP News & Updates:
Securities and Exchange Commissioner Hester M. Peirce was interviewed on Episode 10 of The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee, Halter & Griswold LLP and the National Society of Compliance Professionals, by host Patrick D. Hayes, Senior Counsel and leader of Calfee’s Investment Management practice. Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue that has taken place between the regulators and the industry on the issue of CCO liability. The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry’s legal and compliance professionals. The podcast embodies Hayes’ passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of industry professionals and key decision makers. Click below to listen to the full episode with Commissioner Peirce’s interview. [av_button label='LISTEN & SUBSCRIBE' link='manually,https://www.complianceincontextpodcast.com/episodes/10' link_target='_blank' 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=''] Listeners will also find the podcast on Apple Podcast, Google Podcast, Spotify, and Stitcher.
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NSCP’s 12 Virtual Half Day Educational SeminarsJANUARY 28th SEMINARS 1. Starting with the End Results in Mind: Tips for Remote Supervision and Remote Audits 2. Cybersecurity: Am I a Compliance Officer or an Information Security Officer? FEBRUARY 18th SEMINARS 3. Incorporating SEC & FINRA Exam Priorities into Your Compliance Program 4. Make it Matter: Effective Risk Management MARCH 18th SEMINARS 5. Conflicts of Interest: A Closer Look 6. Hot Topics in Compliance: Best Practices for Managing Through Uncertainty APRIL 27th SEMINARS 7. Essential Skills for Compliance Program Management 8. Communication & Professional Interaction for Compliance Professionals MAY 25th SEMINARS 9. Maximize Your Vendor Management Program 10. From Theory to Practice: Managing a Robust Code of Ethics Program JUNE 22nd SEMINARS 11. If you Build It, They Will Come: Leveraging Compliance Technology & Automation 12. Sharing Solutions: Implementing the New SEC Advertising Rule [av_button label='VIEW SEMINAR DETAILS' link='manually,https://seminars.nscpconferences.org/' link_target='_blank' 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=''] [av_hr class='full' height='20' shadow='no-shadow' position='center' custom_border='av-border-thin' custom_width='20px' custom_border_color='' custom_margin_top='30px' custom_margin_bottom='20px' icon_select='yes' custom_icon_color='' icon='ue808' font='entypo-fontello' custom_class='' admin_preview_bg='']
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