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 […]
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 […]
The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance.
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 […]
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 […]
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 […]
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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 […]
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 […]
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 […]
