Entries by Michael DeMartin

Register for the 2020 Regulatory Interchange in Newport Beach on March 3

Don’t miss this opportunity to interact with regulators and hear about the latest regulatory initiatives on March 3rd in Newport Beach, CA. The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with both FINRA and SEC regulators. Facilitated by industry professionals, attendees will meet and discuss […]

NSCP Volunteer Showcase: Participate Today!

Once upon a time, there was a misconception of what it meant to be a volunteer… Yes, while certain volunteer opportunities are project-based and may require a significant donation of time and energy, others are as simple as being engaged. NSCP’s industry forums are not just a member benefit. When you volunteer your time by participating in any of the […]

NSCP In Action: Look Back: Fourth Quarter 2019

As the fourth quarter of 2019 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: Annual due inquiry under Custody Rule Background checks on companies and individuals Naming private funds in Form ADV […]

Women in Compliance: Wednesday, January 22, 2020

Join us for 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 panelists will be joined […]

NSCP Industry Forum November 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 Regulatory Notice 19-35: BD and IA renewals for 2020 Cybersecurity alert: Cloud-based email account takeovers SEC issues FAQs regarding disclosure of certain financial conflicts related to Investment Adviser compensation Beyond […]

Coming Soon: Our New CSCP Program!

The only designation for both Broker-Dealers and Investment Advisers Beginning in January 2020, NSCP will be offering a restructured Certified Securities Compliance Professional (CSCP) program in partnership with the University of St. Thomas. CSCP is a graduate-level program for experienced financial services professionals. Upon completion of the academic course and the CSCP certification examination, candidates […]

The SEC’s Standard of Conduct Rules – Important Considerations and Best Practices

Don’t miss this Webinar on Wednesday, December 11th from 1:00pm–2:00pm EST Join Bloomberg Law analysts Peter Rasmussen, Preston Brewer, Patty Tehrani, and former NY DFS superintendent, Maria T. Vullo, for a webinar on the SEC’s standards of advice package (including Reg BI, Form CRS, and related efforts). The panelists will also discuss best interest efforts focusing on New York’s Insurance Regulation 187 […]

Impact of Current State Regulatory Initiatives on Your Practice: “Speaking from the Other Side”

Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join us to learn what you need to know for your practice or in-house compliance responsibilities. Topics will include: The standards of care debate: Regulation BI, State and NASAA […]