Entries by Michael DeMartin

Register Today: Labs are Going Quickly

The NSCP National Conference offers a unique and interactive learning environment in lab sessions, BUT, seating is limited… Labs are hands-on learning sessions designed to provide real life application where attendees engage in discussions, share their thoughts and experiences, and benefit from mutual learning. Labs are effective for stimulating a dynamic learning environment with active participation from attendees and […]

Only 125 Registrations Left at Our Spring Sale Rate

Maximize your savings and your educational opportunities at the NSCP National Conference this year! 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.

NSCP’s Chicago Spring Conference is available for viewing – anytime, anywhere

Sessions now available to purchase individually. The recorded sessions from the NSCP Spring Conference that were held in Chicago on April 30th are now available for purchase. Materials and session videos are available in two options: Member Price: $55 per session or $300 for track A or B (6 sessions) Non-Member Price: $65 per session or $375 for track A or B (6 sessions) Track A:  Building Core Competencies – […]

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 Cybersecurity Call SEC Risk Alert on Privacy Issues D.C. Circuit Court’s opinion in the Robare case Beyond that, our members are discussing these topics: Unbilled/Excluded Assets for managed accounts Branch vs. […]

The NSCP National Conference is designed to suit your professional and educational needs

Take a look at our Day 2 Agenda Enhance your compliance skills, receive practical take-aways, gain insights into meaningful solutions, and make many new professional connections at the NSCP National Conference. Here’s a sneak peak at a few of our sessions on day 2 of the conference: Corporate Governance, Culture and Compliance Enforcement Issues ERISA:  Now and Into the Future Compliance Passport: Perspective […]

Apply For the NSCP Compliance Scholarship Today

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 new to the securities compliance industry by offering educational tools to better […]

NSCP Chicago Spring Conference Video Available to Purchase

The recording from the NSCP Spring Conference held in Chicago on April 30th is available to purchase. Included in this informative event are materials and the video from the following tracks: Track A:  Building Core Competencies – BD/IA Training for New Compliance Professionals Track B:  Today’s Issues and Insights – Coverage for Seasoned Professionals Member Recording Price:  $300 per […]

Everything You Want to Know About Business Development Companies

  Don’t miss this Webinar on Wednesday, May 8th from 2:00pm–3:00pm EST Join NSCP and Alaric Compliance Services, LLC for a free webinar discussion on business development companies, the second in our three-part series on Credit Products. The demand for alternative pooled and/or structured credit products such as Business Development Companies (BDCs), Collateralized Loan Obligation (CLO) […]