Entries by Michael DeMartin

Don’t Miss Our Upcoming Webinar: Ensuring Business Continuity During the Coronavirus Crisis

Join us on April 9 at 2:00pm ET Join Joshua Horn, Fox Rothschild LLP; Ernie Badway, Fox Rothschild LLP; and David Zack, R. Seelaus for an informative discussion of how companies in the securities industry should prepare to effectuate business continuity policies during times of crisis, with a particular focus on the coronavirus and responding in the midst of an ongoing, […]

NSCP Goes Virtual! Join us for our Spring Conference April 20th

NSCP takes great pride in delivering quality education coupled with exemplary networking opportunities through our in-person events. However, due to the recent travel and meeting restrictions, NSCP’s Spring Conference on April 20 will go virtual. Good news! NSCP will continue to offer certificates of attendance for continuing education programs*, including CLE, CPE and CSCP, to attendees participating in the […]

Don’t Miss Our March 26th Webinar: BD – Creating Effective Supervision Structures

Join us on March 26th at 2:00pm EST This webinar will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Centralized versus decentralized supervisory structures will be compared and contrasted. The discussion will then focus on factors specific to the business model and personnel that may favor […]

Register for the NSCP Spring Conference in Chicago on April 20

Don’t miss our coverage of the most relevant compliance topics! Emerging Regulatory Issues Keynote Panel Find out how compliance professionals are addressing key issues such as ESG, cannabis and various retirement topics in light of regulatory priorities from FINRA, SEC and DOL. Don’t Miss These Breakout Sessions: Proposed Amendments and Practical Applications to the Advertising Rules Legally […]

Listen to the Latest NSCP Podcast

Our latest podcast features a reading of the NSCP Currents article “Infusing Diversity & Inclusion Into Your Compliance Program,” written by Shachi Bhatt, Chief Compliance Officer at the Office of the NYC Comptroller. You can listen and subscribe at the following podcast outlets. We look forward to your comments and reviews! SUBSCRIBE & LISTEN TODAY: […]

Register now and save big for NSCP’s Chicago Spring Conference and Regulatory Interchange

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange in Chicago, April 20 & 21 Early Bird discount available through March 6th Spring Conference Rates*: Members $375  |  Non-members $575 (*higher rates after March 6th) Regulatory Interchange Rates: Members $75  |  Non-members $150 $40 Discount will be applied if attending both […]

NSCP Submits Comment Letter on Proposed Advertising and Cash Solicitation Rules

NSCP has submitted a comment letter on proposed amendments to Rule 206(4)-1 (the Advertising Rule) and Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisers Act of 1940. The comments relate to the obligations of Chief Compliance Officers under the proposed amendments to the Advertising and Solicitation Rules. NSCP would like to express its gratitude to […]

Join Our New CSCP Program!

NSCP is now 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 will be granted the CSCP designation offered by NSCP.