Featuring Regulators from: FINRA – March 9th SEC – May 11th DOL – June 8th NASAA – July 20th Receive insight and understanding directly from regulatory speakers on important compliance topics. NSCP Members attend for free – but must pre-register for each event! Non-member registration is $100.
The Diversity and Inclusion Committee is gathering information anonymously from NSCP membership about your firm’s diversity, equity and inclusion (“DEI”) initiatives, interests and needs. Our goal is to use your firm’s information to determine where our membership is with their DEI initiatives and interests and to determine ways in which NSCP and our Diversity and Inclusion Committee are able to assist you in […]
• February 18 (1pm EST) – “Make it Matter: Effective Risk Management” • April 21 (1pm EST) – “Incorporating SEC & FINRA Exam Priorities into Your Compliance Program” Valuable content with practical application for your compliance program. Though on different dates, these two seminars are packaged at one registration price.
We have established the NSCP Compliance Education Scholarship in memory of those members who have passed. Their dedication and contributions make up the foundation of the NSCP organization and its continued success. The NSCP Compliance Education Scholarship is designed to benefit those professionals who are new to the securities compliance industry by offering educational tools […]
It is with great sadness that we inform you of the passing of Paul B. Uhlenhop. Paul was a member of NSCP for over 30 years. He was a staunch supporter of NSCP and the financial services compliance industry. Paul volunteered endless hours to NSCP participating and chairing several committees, writing for NSCP’s monthly publication, NSCP Currents, and […]
February 18 & April 21 *The SEC & FINRA Exam Priorities session has been postponed from February 18 to April 21 since the 2021 examination priorities have not yet been released. Registrants will have access to attend both sessions.
Over the past year, the National Association of Black Compliance and Risk Management Professionals and the National Society of Compliance Professionals have contributed to the ongoing conversation related to diversity, equity and inclusion in the financial services industry. As we enter 2021, we are working to build on the progress made over this past year […]
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 […]
You choose! Attend as many or as few as you like by choosing the seminar topics that most interest you. Convenience! Attend virtually from the comfort of your home or office. Time Savings! Join us for two 75-minute educational sessions in a 3-hour time block – then the rest of the day is yours. Value! Low cost […]
NSCP’s 12 Virtual Half Day Educational Seminars JANUARY 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 […]
