NSCP Currents: Podcast Episode Alert

This month’s feature Podcast is Patrick Hayes’ “Current Trends in SEC Exams – What to Expect”.

If you haven’t been examined in a while, listen in to help you identify key risk areas affecting your firm to help ensure your firm puts its best foot forward the next time the SEC comes in to kick the tires.

You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews!

GET IT HERE

NSCP Currents Podcast is now also available on Spotify. If you have an account, just search “NSCP” and subscribe today.

Don’t Miss This Year’s Luncheon Keynote Address

Featuring: The Honorable Hester M. Peirce, Commissioner, Securities and Exchange Commission

Join us for Tuesday’s luncheon at the NSCP National Conference when Commissioner Peirce shares her views on the importance of the SEC’s inspections and examination program, the role that compliance officers play in ensuring that our capital markets work efficiently, and the ways in which the SEC can help compliance officers be more effective. She will be happy to entertain questions.

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Introducing Ric Edelman: Keynote Speaker at NSCP National

Who would have thought 10 years ago that compliance professionals would need to become pseudo experts on cybersecurity and other technological advances? Compliance professionals must be forward thinkers, willing and able to identify, prepare for, and respond to emerging trends in all areas of the business.

Don’t miss our Technology Tuesday keynote address, featuring award-winning financial advisor, Ric Edelman, who will reveal how exponential technologies will alter virtually every aspect of your life — with profound implications for your personal finances.

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Introducing Rashmi Airan: Keynote Speaker at NSCP National

Have you ever known someone who was so driven to succeed that they would do so by any means necessary? As Compliance Professionals, many would describe themselves as skeptics by nature. What happens when someone’s drive to succeed outweighs their desire to ask one more question?

Join us for our opening keynote address featuring Rashmi Airan, a first-generation immigrant of Indian parents and the oldest of three daughters, who was raised with high expectations to achieve. Having both professional and personal pressures, Rashmi aspired to become a successful lawyer graduating with honors from Columbia University. During the housing boom, she was recruited to work with a local real-estate developer who later engaged in questionable business practices. Rashmi’s drive to succeed financially and to give her children the best life possible created an ethical blind spot for her.

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NSCP Currents: Podcast Episode Alert

This month’s feature Podcast is Elizabeth Cope’s “How to Master the Annual Review and Promote a Culture of Compliance: Part 2 Testing and Reviews“

Join us as we continue to explore the next step in the Annual Review process.

“How to Master the Annual Review and Promote a Culture of Compliance“ is a 3-part series where you will learn how to develop an annual review to work for you instead of against you, how to make it realistic to implement and manage and how to make is support the operations and ever-changing needs of your firm, as opposed to being just another thing you have to do to meet regulatory requirements. This series will cover, step by step, how to develop your risk assessment, how to decide what needs to be tested, how to schedule when the testing occurs, how to document your testing and how to present that documentation to the regulators. 

You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews!

GET IT HERE

NSCP Member Bulletin

NSCP Regulatory Recap

Find out what was discussed when NSCP met with FINRA President and CEO Robert Cook last month.

On June 25, 2018 representatives of NSCP had the opportunity to conduct a follow up meeting with FINRA President and CEO Robert Cook, who was joined by representatives from Member Relations and Education, Member Supervision and Enforcement divisions.

Key conversation points included:

  • WORM Storage
  • Outside Business Activities & Private Securities Transactions
  • Remote Office Inspections
  • CE Program Options – Maintaining Qualifications
  • Technology Regulations
  • CCO Liability
  • Mutual Fund Share Class Disclosure Initiative

A complete summary of the meeting is available for all members.

FINRA PRESIDENT & CEO COOK SUMMARY: READ NOW

 

NSCP Quarterly Member Bulletin: A Look Back at Q2

Summer is upon us! Before we fire up the BBQs and rush out the doors for our family vacations, we here at NSCP want to thank you, our members, for the great work that’s been completed in Q2!

READ THE NEWSLETTER

NSCP Currents: Podcast Episode Alert

This month’s feature Podcast is Elizabeth Cope’s “How to Master the Annual Review and Promote a Culture of Compliance“

Join us as we demystify the Annual Review process.

“How to Master the Annual Review and Promote a Culture of Compliance“ is Part 1 of a 3-part series where you will learn how to develop an annual review to work for you instead of against you, how to make it realistic to implement and manage and how to make is support the operations and ever-changing needs of your firm, as opposed to being just another thing you have to do to meet regulatory requirements. This series will cover, step by step, how to develop your risk assessment, how to decide what needs to be tested, how to schedule when the testing occurs, how to document your testing and how to present that documentation to the regulators. 

You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews!

GET IT HERE

NSCP Member Bulletin

NSCP Regulatory Recaps

Find out what was discussed when NSCP met with SEC Chairman Jay Clayton and Commissioner Hester Peirce last month.

On May 21, 2018 representatives of NSCP had the opportunity to conduct a follow up meeting with SEC Chairman Jay Clayton and an introductory meeting with Commissioner Hester Peirce.

Key conversation points with Chairman Clayton included:

  • Cost of Compliance
  • Regulator Best Interest
  • Investment Adviser Expectations
  • Small Business Audit Correction Act of 2018

Key conversation points with Commissioner Peirce included:

  • CCO Liability
  • “Regulation by Enforcement”
  • Interactions with OCIE

Complete summaries of each meeting are available for all members.

CHAIRMAN CLAYTON SUMMARY: READ NOW

COMMISSIONER PEIRCE SUMMARY: READ NOW

NSCP Currents: Podcast Episode Alert

This month’s feature Podcast is Eversheds Sutherland’s “Connecting the dots: The SEC’s proposed rules on the standard of conduct for investment professionals – a quick guide to what you need to know.“

What just happened? – find out here.

You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews!

GET IT HERE