We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.
About Meghan Flanagan
This author has yet to write their bio.Meanwhile lets just say that we are proud Meghan Flanagan contributed a whooping 38 entries.
Entries by Meghan Flanagan
On February 6, 2018, in partnership with Kirkland & Ellis, NSCP sponsored a Form ADV Seminar for the Private Fund community in New York, which offered insights into the new Form ADV Requirements, common disclosure pitfalls, and practical application of best practices to avoid known mistakes.
NSCP is pleased to release its annual edition of the Best of 2017 NSCP Currents; which showcases a collection of prior articles from the prior year.
Latest news from Fort Worth Regional Office caution Advisers on the use of “Canned Compliance Programs”. FORT WORTH PRIORITY PREVIEW CANNED COMPLIANCE PROGRAM” WARNING
FINRA aims to help small firms: The Financial Industry Regulatory Authority has debuted a toll-free help line to provide guidance to small financial firms on compliance matters. FINRA CEO Robert Cook said the Small Firm Helpline will “make it faster and easier for small firms to get answers.” MORE INFORMATION
FINRA Releases 2018 Examination Priorities. Complete release and details below. Have thoughts on this year’s focus areas, or wish to confidentially share a recent examination experience? We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements. FINRA EXAM PRIORITIES SHARE YOUR […]
Don’t miss our latest episode, “Branding Isn’t Just Marketing, Superpower Your Compliance Function” by Aimee R. Blinder, Vice President, Compliance at National Planning Holdings, Inc.
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