Now Open: 2020 NSCP / ACA Compliance Cybersecurity Programs Survey

We’re pleased to announce that we’ve again partnered with the ACA Compliance to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry.

We invite you to participate in our anonymous survey which aims to aggregate data on cybersecurity program implementation. The survey takes approximately 15 minutes to complete. Survey results will be presented in a webcast hosted by ACA and NSCP.

The deadline to complete the survey is Friday April 17, 2020.

NSCP Survey for Delay of Reg BI and Form CRS Implementation Date

A Message from NSCP Executive Director Lisa Crossley

As many of you may have read, SEC Chairman, Jay Clayton, made a public statement this morning which included the SEC’s decision to not extend the compliance date for implementation of Regulation Best Interest and Form CRS. Chair Clayton stated, “…firms should continue to make good faith efforts around operational matters to ensure compliance by June 30, 2020, including devoting resources as necessary and available in light of the circumstances.”

NSCP is considering writing a letter to the SEC asking for reconsideration of their decision not to extend the implementation date. In order to have informed content for the letter, we need your help.

We have created a short three question survey which we would appreciate you completing. Your responses will help guide the Comment Letter Ad Hoc Committee in requesting of the SEC what is best for NSCP members under current circumstances.

Thank you in advance for your assistance.
– Lisa

Double Your CE Credits! NSCP Virtual Conference Expanded to 2 Days – April 20 – 21

No need to miss valuable breakout sessions when you can attend all of them. NSCP’s Virtual Conference will now be offered on both Monday, April 20 and Tuesday, April 21 so that attendees can receive even more continuing education credits toward their professional certification programs including CLE, CPE and CSCP*.  As an added value, NSCP will provided recordings of all sessions offered on both days to all registered attendees.  Don’t wait – register now!


*Verification of attendance will be required throughout the virtual session while it is live. Failure to verify at any point will prevent NSCP from providing a certificate for the session(s) in question. At this time, we cannot verify attendance for attendees who listen to recorded sessions and will not provide a certificate of attendance to those who do not attend the live sessions.

Don’t Miss Our Upcoming Webinar: Ensuring Business Continuity During the Coronavirus Crisis

Join us on April 9 at 2:00pm ET

Join Joshua Horn, Fox Rothschild LLP; Ernie Badway, Fox Rothschild LLP; and David Zack, R. Seelaus for an informative discussion of how companies in the securities industry should prepare to effectuate business continuity policies during times of crisis, with a particular focus on the coronavirus and responding in the midst of an ongoing, widespread and unpredictable event that is impacting business operations on a global scale.

NSCP Member Call Series: Navigating the Regulatory Environment in Response to COVID-19

Join us on March 30th at 5:30 pm ET / 2:30 pm PST

In our continued effort to help members navigate the regulatory environment in light of COVID-19, NSCP will be holding weekly member calls beginning Monday March 30th at 5:30 pm EST/2:30 pm PST. The calls will provide NSCP members the opportunity to ask questions, share concerns, and provide resources to fellow members. The calls will be led by one or more of NSCP’s Regulatory Forum Chairs and/or Board Members.

If there are specific questions or issues you wish to have guidance on please post on NSCP’s MemberVoice portal.

Login to the NSCP MemberCenter and visit our “Upcoming Events” for the call information.

We encourage you to post your questions and assist other members in answering their questions regarding COVID-19 regulatory concerns on NSCP’s Compliance Forum or Industry Forums.

This call series is intended for NSCP Members only. These calls may not be shared with or accessed by non-members including Press and Regulators.

NSCP Goes Virtual! Join us for our Spring Conference April 20th

NSCP takes great pride in delivering quality education coupled with exemplary networking opportunities through our in-person events. However, due to the recent travel and meeting restrictions, NSCP’s Spring Conference on April 20 will go virtual.

Good news! NSCP will continue to offer certificates of attendance for continuing education programs*, including CLE, CPE and CSCP, to attendees participating in the live virtual conference. All you need is a computer and a stable Internet connection to participate.
All registrants will also receive recordings of all sessions that can be watched at later dates.

We look forward to having you join us!

*Verification of attendance will be required throughout the virtual session while it is live. Failure to verify at any point will prevent NSCP from providing a certificate for the session(s) in question. At this time, we cannot verify attendance for attendees who listen to recorded sessions and will not provide a certificate of attendance to those who do not attend the live sessions.

Don’t Miss Our March 26th Webinar: BD – Creating Effective Supervision Structures

Join us on March 26th at 2:00pm EST

This webinar will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Centralized versus decentralized supervisory structures will be compared and contrasted. The discussion will then focus on factors specific to the business model and personnel that may favor a centralized or decentralized structure. Finally, supervisory controls and monitoring will be covered.

Learning Objectives:

  • Explore the roles and responsibilities of compliance oversight and performing supervisory functions
  • Compare and contrast centralized versus decentralized supervisory structures and what factors favor one over the other
  • Integrating and effectively utilizing technological solutions in the supervisory structure
  • Designing and implementing effective supervisory controls tailored to the business model and considerations for monitoring of the supervisory system
  • Vetting and oversight of third-party records retention providers

Daniel Korb, Principal, Bressler Amery & Ross
Kurt Lofgren, Senior Vice President, LPL Financial

Register for the NSCP Spring Conference in Chicago on April 20

Don’t miss our coverage of the most relevant compliance topics!

Emerging Regulatory Issues Keynote Panel

Find out how compliance professionals are addressing key issues such as ESG, cannabis and various retirement topics in light of regulatory priorities from FINRA, SEC and DOL.

Don’t Miss These Breakout Sessions:

  • Proposed Amendments and Practical Applications to the Advertising Rules
  • Legally but Ethically Questionable Situations
  • Fundamentals of Compliance Testing
  • Working with Stakeholders
  • Regulation Best Interest for Broker Dealers and Dual Registrants
  • Risk Mitigation and the Management of Third-Party Vendors
  • Understanding the Requirements of ADV Part 3
  • Cross Border Regulations
  • Conflicts of Interest
  • Advanced Risk Management of Data Privacy and Cybersecurity

Save $40 by also registering to attend the NSCP Regulatory Interchange on April 21st in the same location!

Listen to the Latest NSCP Podcast

Our latest podcast features a reading of the NSCP Currents article “Infusing Diversity & Inclusion Into Your Compliance Program,” written by Shachi Bhatt, Chief Compliance Officer at the Office of the NYC Comptroller.

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

Apple iTunes
    |    Google Play    |    Stitcher

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

Register now and save big for NSCP’s Chicago Spring Conference and Regulatory Interchange

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange in Chicago, April 20 & 21

Early Bird discount available through March 6th

Spring Conference Rates*:
Members $375  |  Non-members $575
(*higher rates after March 6th)

Regulatory Interchange Rates:
Members $75  |  Non-members $150

$40 Discount will be applied if attending both events