Entries by NSCP News

NSCP National Conference: In-Person November 8-10

We Can’t Wait to See You In-Person at the 2021 NSCP National Conference November 8-10, 2021 Gaylord National National Harbor, Maryland Here’s a sneak peek at our agenda and rates. Registration to open in early June. CHECK OUT THE 2021 EXHIBIT HALL >   

NSCP Quarterly Member Bulletin: First Quarter 2021

A Look at What We Accomplished Together in the First Quarter of 2021 NSCP in Action As the first quarter of 2021 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months. So what happened? Our updated Events website features upcoming 2021 NSCP Educational Seminars and Regulatory Interchanges. […]

NSCP Celebrates Women’s History Month 2021

March commemorated the observance and celebration of the vital role of women in American history. NSCP honors this month by sharing leadership lessons and workplace insights that Compliance professionals everywhere can learn and grow. There have been numerous books written on successful women in the financial services industry.  The books referenced below exemplify a small […]

Be Our Guest at the New NSCP Blockchain & Fintech Roundtable

NSCP Invites You to Join Our First Virtual Meeting: May 18th at 12:30 PM Eastern (3rd Tuesday, Monthly for NSCP Members) Compliance for the future of finance. April focus: SEC Risk Alert regarding digital assets & recent enforcement cases. NSCP Members and Guests (for a limited time) will receive: Benchmarking & candid Q&A Insights into regulatory expectations Help with implementation […]

Register for Regulatory Interchange Webinars – Free for Members!

Featuring Regulators from: FINRA – March 9th SEC – May 11th DOL – June 8th NASAA – July 20th Receive insight and understanding directly from regulatory speakers on important compliance topics. NSCP Members attend for free – but must pre-register for each event! Non-member registration is $100.

NSCP’s Diversity & Inclusion Committee Wants to Help You

The Diversity and Inclusion Committee is gathering information anonymously from NSCP membership about your firm’s diversity, equity and inclusion (“DEI”) initiatives, interests and needs. Our goal is to use your firm’s information to determine where our membership is with their DEI initiatives and interests and to determine ways in which NSCP and our Diversity and Inclusion Committee are able to assist you in […]

Don’t Miss Our February 18 and April 21 Seminars!

• February 18 (1pm EST) – “Make it Matter: Effective Risk Management” • April 21 (1pm EST) – “Incorporating SEC & FINRA Exam Priorities into Your Compliance Program” Valuable content with practical application for your compliance program. Though on different dates, these two seminars are packaged at one registration price.