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:
Maximize your savings and your educational opportunities at the NSCP National Conference this year with our Group pricing
Whether you’re new to the role or a seasoned industry veteran, the NSCP National Conference provides an invaluable professional development opportunity for the whole team. Come one, come all – but if you come in a group of 3 or more, take advantage of our significant registration discount of just $950 per person. Not enough people at your firm to make a group? Don’t worry: a group can be made up of people from different firms! *Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register together. Service providers are not eligible for the group rate. [av_button label='REGISTER NOW' link='manually,https://national.nscpconferences.org/fees-2/' 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='']
Over the past several months, NSCP representatives held ten meetings with FINRA, the SEC and NASAA. These meetings gave NSCP representatives the opportunity to express NSCP members’ regulatory, examination, and enforcement concerns, both on the federal and state level. The meetings also provided an opportunity for FINRA, the SEC and NASAA to share their current regulatory priorities.
We have written summaries for each meeting in order to share our efforts with NSCP members on their behalf as well as provide insight into current regulatory undertakings.
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Please contact the NSCP staff if you have any questions regarding the meetings.
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 Retail Strategy Task Force to host roundtable on combating elder investor fraud
- SEC and FINRA statement on custody of digital assets
- OCIE risk alert on employing people with disciplinary histories
- Outside business activities
- Duplicate statements for compliance review
- Marijuana related businesses
Beth Haddock is a compliance executive specializing in building & managing governance programs. She is Managing Partner at Warburton Advisers, a boutique firm providing compliance consulting, coaching and micro-training videos. Beth is also the author of Triple Bottom-Line Compliance, How to Deliver Protection, Productivity and Impact and the host of a new podcast, "What’s Ethical?"
In this keynote, Beth will address "Compliance Reimagined: Why Influential Triple Bottom-Line Leaders Will Replace the Status Quo." Learning objectives include why it's time to reimagine the role of compliance as sustainable governance; what it means to deliver a sustainable Triple-Bottom Line compliance program; and how to deliver a Triple-Line of protection and increased productivity and impact.
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