Entries by Michael DeMartin

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.

Purchase a MemberAlly Sponsor Package for Premium Benefits.

Gold, Silver and Bronze levels are still available, but time is running out. Secure your priority exhibit placement by Friday, February 15th. The NSCP MemberALLY Premium Sponsorship program embraces the spirit of partnership for up to twelve (12) partners each year with Gold, Silver and Bronze levels available. Demonstrate your support for NSCP throughout the […]

Direct from SEC and FINRA Regulators to You.

Don’t miss your chance to connect with the SEC & FINRA in Miami on March 4, 2019 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 […]

Register for our Regulatory Interchange in Miami on March 4, 2019

Register for our Regulatory Interchange in Miami on March 4, 2019 Don’t miss our NSCP Regulatory Interchange with the SEC & FINRA. 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 the […]

February 5th Webinar

Everything You Want to Know About Alternative Credit Funds Don’t miss this Webinar on Tuesday, February 5th from 2:00pm–3:00pm EST Join the National Society of Compliance Professionals (NSCP) and Alaric Compliance Services, LLC for a free webinar discussion on Alternative Credit Funds, the first in a series on Credit Products. The demand for alternative pooled and/or […]

February 8 Webinar

Cash Solicitation Rule for Investment Advisers – OCIE Risk Alert and Traps for the Unwary Don’t miss this Webinar on Friday, February 8th from 2:00pm–3:00pm EST NSCP and Hardin Compliance Consulting will host a lively discussion to include referral arrangements for investment advisers and traps for the unwary.  Join Jennifer Relien, General Counsel & Chief Compliance […]

2017 Best of Currents Now Available to Members

Members will receive NSCP Currents, the go-to resource for over 2,000 NSCP members and is positioned as the premier compliance publication of the financial services industry. The monthly journal features articles written by colleagues and other highly respected, industry professionals, tackling problems common to financial service firms.