Entries by Michael DeMartin

December 7 Webinar: Women of Color in Compliance

Women of Color in Compliance Join us on Monday, December 7, 2020  at 2:00 pm ET “If they don’t give you a seat at the table, bring a folding chair.” ― Shirley Chisholm Women of color are facing unique and difficult barriers in the workplace, and opportunities may seem less tangible. Join us for a candid discussion from a distinguished panel of […]

GIPS Reports – Decisions, Insights and 2020 Interpretations

Join us on November 17th at 2:00pm ET Tailored for CCOs, Janice Kitzman and Kim Cash, Cascade Compliance, and two industry compliance professionals, Grace Man, Franklin Templeton, and Irina Gorokhov, Metis Global, will highlight need-to-know reporting guidance published by the CFA Institute in the past few months.  With December 2020 performance, GIPS compliant firms must have […]

Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices

Join us on November 12 at 2:00pm ET Senior investors represent a high percentage of most firms’ assets under management. This group of investors has special considerations – from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What […]

Listen & Subscribe to The Securities Compliance Podcast

A personal master class for the securities legal and compliance professional NSCP presents The Securities Compliance Podcast, hosted by Patrick Hayes, investment management counsel at Calfee, Halter & Griswold. A personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of […]

Last Call to Register!

The NSCP National Conference will be starting soon. Don’t be left out! The 2020 NSCP National Conference features dynamic keynote speakers, educational agendas and the opportunity to connect with peers and empower yourself and your compliance program. Don’t miss out on the many benefits that come with being part of the only conference that’s “For Compliance, […]

NSCP Quarterly Member Bulletin: Third Quarter 2020

A Look at What We Accomplished Together in the Third Quarter of 2020 As the third quarter of 2020 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. So what happened? Our members discussed these topics in the Compliance Forum:   Special assistance with Series 65 and Series 7 IA […]

Still Unsure About Attending?

Take a sneak peek at the latest edition of Currents to learn more about this year’s virtual NSCP National Conference! NSCP Currents is the premier compliance publication of the financial services industry. Available exclusively to NSCP members, we are delighted to share our 2020 NSCP National Conference special issue with you. Read more about the exciting things happening at this […]