Entries by Michael DeMartin

The NSCP Mentoring Program is available!

Become a Mentor or Mentee today! NSCP’s very own Craig Watanabe couldn’t have said it better during our Volunteer Showcase: “…NSCP is devoted to the development of compliance professionals. The Mentoring Program is a great compliment to the conferences, publications and other NSCP member benefits. However, mentoring holds the potential to be THE MOST beneficial […]

2019 NSCP National Conference: Registration Opening Soon!

Your opportunity to meet over 800 fellow compliance professionals happens at the annual NSCP National Conference, this October 21-23 at the Baltimore Hilton in Maryland. You’ll find essential compliance topics to enhance your skills and knowledge; participate in our most sought-after lab sessions; and learn from our inspirational and insightful keynote speakers. Stay tuned – you’ll […]

We’d Like to Hear About Your Experiences With 2019 Examinations and Regulatory Coordinators

In preparation for NSCP’s meeting with FINRA Executive Management in June, FINRA has requested NSCP member feedback, positive or negative, regarding their 2019 examination experience and/or experiences with Regulatory Coordinators. If you would like to provide feedback, on an anonymous basis, please leave your comments on NSCP’s MemberVoice portal. If you feel comfortable doing so, […]

Register for the 2019 NSCP Spring Conference & Regulatory Interchange April 30 & May 1 in Chicago

Early Bird Discount Available Until March 29th Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange (April 30 – May 1) in Chicago. Spring Conference Rates*: Members $375  |  Non-members $570 (*higher rates after March 29th) Regulatory Interchange Rates: Members $75  |  Non-members $150 $40 Discount will be applied if attending both […]

Don’t Miss the NSCP Regulatory Interchange with the SEC & FINRA

April 2, 2019 in New York City: Members $75.00  |  Non Members $150.00   The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they […]

Listen to the latest NSCP Currents Podcast

This month’s feature Podcast is Brad Anderson & Craig Watanabe’s “Business Email Compromise (“BEC”).” You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: Apple iTunes    |    Google Play    |    Stitcher NSCP Currents Podcast is also available on Spotify. If you […]

NSCP Industry Forum Insights: 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: FINRA’s 529 Share Class initiative FINRA’s 2019 Annual Risk Monitoring and Examinations Priorities letter SEC brings charges in Edgar Hacking case Beyond that, our members are discussing these topics: Email Review – Access to Executive Management Emails Social Media […]

Women in Compliance – Tuesday, March 19 in New York City

Join us as we honor International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance […]

Sign up for the NSCP Canadian Compliance Roundtable

Sign up for the National Society of Compliance Professionals Canadian Compliance Roundtable meeting, intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable will provide in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs.