NSCP News & Updates:
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Maximize your savings and your educational opportunities at the NSCP National Conference this yearWhether 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. *Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register together. [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='']
The industry's source for the thoughtful analysis of current eventsNSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:
- Regulation Best Interest
- Form CRS
- SEC Concept release on private offerings
- Software to detect insider trading, frontrunning, and for COE attestation
- Books – gifts or advertising?
- Who does the CCO report to?
Join us for our opening keynote address featuring Lee Rubin. Everyone is a player in the game of life, but Lee knows what it takes to win on a consistent basis. Drawing from his experience as a major collegiate athlete, corporate professional, and renowned speaker, Lee offers clear insights that communicate winning strategies and principles on how to build extraordinary teams. [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='']
Don't miss this Webinar on Tuesday, July 30th from 2:00pm–3:00pm ESTThe Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving business models. This annual evaluation process allows firms to examine what they are doing, how they’re doing it, the efficacy of their procedures, allowing firms the opportunity to report and adjust for any risks or gaps within their compliance program. But how do you know if your testing within your annual review is right and accurate? And are you really testing “everything”? Is there a “risk stone” unturned that you may not have noticed? Tina Mitchell (Lead Sr. Compliance Consultant, Core Compliance) and Matt Lovett (Chief Compliance Officer, Brookstone Capital Management) will provide their key industry insights to assist firms in enhancing their Annual Review process. Our panelists understand that navigating this process can be difficult and running the same tests from last year during your annual review isn’t enough. By attending the “Enhancing Your Annual Review Process” webinar, attendees will learn:
- How to assess and enhance your past annual review process
- Key considerations for your firm’s evaluation process
- Best practices to tackle the testing and surveillance process
- Tips of planning your firm’s next annual review