Entries by Michael DeMartin

NSCP Quarterly Member Bulletin

A Look at What We Accomplished Together in the Second Quarter of 2020 As the second quarter of 2020 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:   Unannounced branch exams Business concerns in lieu of COVID-19 […]

Join Our CSCP Program!

NSCP is 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.

The Denver 2020 Regulatory Interchange is Now Virtual!

Join us on July 24, 9:00 am –12:15 pm Don’t miss our NSCP Regulatory Interchange with the SEC, DOL & FINRA: The NSCP Regulatory Interchange will provide an informal virtual setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to hear from the regulators and ask questions. Click below for more information and to […]

A Message from NSCP’s Executive Director and Board Chair

NSCP as an organization is committed to diversity and inclusion. The Staff and Leadership of the NSCP are saddened and distressed by the events of the past week and stand against discrimination, systemic racism, and bigotry of any kind. This organization’s motto – For Compliance, By Compliance – underlies our commitment to inclusion across race, gender, age, […]

June 18 Webinar: How to Navigate Regulatory Change During a Pandemic

Don’t Miss Our Upcoming Webinar: How to Navigate Regulatory Change During a Pandemic Join us on June 18th at 2:00pm ET As the pandemic drags the economy into recession, multiple federal agencies – including the Federal Reserve, the Federal Deposit Insurance Corporation, and the Consumer Financial Protection Bureau – have pledged to help businesses survive the downturn. […]