Entries by Michael DeMartin

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 […]

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

Join us on September 17th 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 […]

NSCP Membership Empowers You

Register for the NSCP 2020 National Conference and Become a Member Now for Savings on Both Conference Summer savings end August 31st – Register today and choose “Become a Member” to save $50 on Membership at the same time. Attend the only conference that is “For Compliance, By Compliance.” Become an NSCP member for full access […]

Last Chance to Save Money on Registration

Summer savings end August 31st – Don’t pay more than you have to! The only conference that’s “For Compliance, By Compliance” Connect and focus on the practical solutions to empower yourself and your compliance program

September 3 Webinar: Best Practices for Private Funds Compliance Programs as a Result of COVID-19 and Market Volatility.

Join us on September 3rd at 2:00pm ET According to the SEC, these are the heightened risk areas for Private Funds as a result of COVID-19 and market volatility: Business continuity plans Valuation of client assets Liquidity risk management Transactions with affiliates Side-by-side management Use of material non-public information SEC PF risk alert Join Tito Pombra, President […]

September 14 NSCP Member Call

NSCP Member Call Series: Navigating the Regulatory Environment in Response to COVID-19 Join us on Monday, September 14th 5:30 pm ET / 2:30 pm PST NSCP’s next Member Call will take place on September 14, 2020 at 5:00 pm. We encourage our members to submit questions and/or agenda items to the NSCP MemberVoice portal. An email with additional details […]