Entries by Meghan Flanagan

NSCP Member Bulletin

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.

NSCP Events: Form ADV Seminar with Kirkland & Ellis

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 Member Bulletin

Latest news from Fort Worth Regional Office caution Advisers on the use of “Canned Compliance Programs”. FORT WORTH PRIORITY PREVIEW CANNED COMPLIANCE PROGRAM” WARNING

NSCP Member Bulletin

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

NSCP Member Bulletin

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 […]