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. The regulators are also urging banks to do their part during this global crisis. Regulators recommend that financial institutions work constructively with borrowers and other customers in affected communities.

In this webinar, we will explore how banks can proactively navigate and advise around regulatory changes as we slowly come out of the “stay at home” period and how we can minimize the negative effects it will have on the industry as we move forward in 2020.

June 16th Webinar: New Focus Areas and How Compliance Programs Need to Change for 2020

Don’t Miss Our Upcoming Webinar – Forward Thinking: New Focus Areas and How Compliance Programs Need to
Change for 2020

Join us on June 16 at 2:00pm ET

Sheltering-in policies have required firms to work remotely and adjust the way they communicate with their clients – and each other. Join James Smith, Senior Compliance Consultant, Core Compliance & Legal Services, and Robert Ross, Senior Vice President and Chief Compliance and Risk Officer, Boston Private, in this webinar exploring integral areas that all broker-dealers and registered investment advisers should consider, particularly in response to COVID-19 and what their compliance programs need to include as we all look ahead toward the future.

In this webinar, we will provide and cover:

  • An overview of regulatory expectations for disaster preparedness
  • Business continuity – have you done enough and documented how you responded to the pandemic?
  • Cybersecurity, internal controls and supervisory considerations for working remotely
  • Client and vendor communications – regulatory guidance on what you should include
  • A checklist of how to mitigate business and compliance risks going forward

NSCP National Conference is Virtual! Register today for Lowest Rates

Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office. October 19–21, 2020. Offer available until June 14th.


Investing During the Crisis: How Private Equity, Hedge Funds and Venture Funds Are Coping With Coronavirus

A Complimentary Webinar Co-Sponsored by Fox Rothschild
Thursday, June 4, 2020 | 2 pm ET | 11 am PT

The COVID-19 pandemic has prompted an increase in private equity, hedge fund and venture fund litigation and transactional issues for compliance professionals, investors and managers.

Fox Rothschild’s Securities Industry Practice presents an informative webinar that explores current industry trends and outlines what to expect for the future. Jon Heyl and Alex Kerzhner will lead a discussion on the following topics:

In-depth look into private equity and hedge fund litigation

  • Mismanagement and misconduct claims
  • Misrepresentations and omissions
  • Participating in Ponzi schemes (wittingly or unwittingly)

Fund operations

  • Redemption and associated issues
  • Concerns associated with management fees and expenses
  • What to know when winding down

Fox uses WebEx technology for webinars. New to WebEx? Click here to join a test meeting. We recommend using the computer audio option.

Don’t Miss Our Upcoming Webinar: Data Governance and Ethics Best Practices

Join us on June 10 at 2:00pm ET

Join us for a webinar covering the foundation of traditional and evolving privacy & data governance laws, recent enforcement cases, as well as governance trends that move beyond disclosures and notices into data mapping, building a program with data stewards and impact assessments so compliance officers are prepared to address data governance issues as many adjust to a changing work environment as a result of COVID-19.

NSCP’s National Conference is Going Virtual – Registration Will Open Soon!

Mark Your Calendar:
October 19-21 (3 full days)
68 Educational Sessions with CE Credit Opportunities
Online Networking Opportunities
And Much More…

Spring Special Rates will be offered the first two weeks of
registration opening.

Don’t miss these discount offers!

CSCP Fall Registration is Open!

Offering Broker-Dealer, Investment Advisers and Dual Registrant Certifications

CSCP is an online graduate-level program offered in partnership with the University of St. Thomas for experienced financial services professionals.

Upon completion of the academic course and the CSCP certification examination (BD, IA, BD/IA), candidates will be granted the CSCP designation offered by NSCP.

What to Disclose and When: SEC Corporate Filing in the Time of COVID-19

A Complimentary Webinar Co-Sponsored by NSCP
Wednesday, May 13, 2020 | 2 pm ET | 11 am PT

The coronavirus pandemic has presented corporate compliance professionals with unprecedented issues affecting disclosures, filings and other SEC requirements. As the deadline for submitting Form 10-Qs approaches for non-accelerated filers, understanding the guidance issued by the SEC will be critical to their 10-Q and other periodic filings.

Fox Rothschild’s Securities Industry Practice presents an informative discussion on a variety of compliance topics related to the COVID-19 pandemic. Laura Holm and Jesse Fishman will lead the discussion, covering a range of subjects, including:

  • SEC guidance contained in CF Disclosure Guidance Topic #9 and its impact on forward-looking statements, MD&A and disclosure controls and procedures
  • Filing an extension for additional time to file your Form 10-Q, 10-K and certain other periodic reports
  • Can companies engage in stock buybacks?
  • Is it necessary to disclose if your CEO or other officers have COVID-19?
  • Effects on periodic reports, proxy statements and other information that needs to be disclosed by companies
  • Virtual shareholder meetings

Heading for Higher Ground: How to Get Ready for the Securities Litigation Tsunami

A Complimentary Webinar Co-Sponsored by Fox Rothschild

Join us on Wednesday, April 29, 2020 | 2 pm ET | 11 am PT.

A potential economic downturn triggered by the COVID-19 outbreak could lead to a wave of securities litigation. Financial industry leaders should be taking steps now to achieve the best position for when the inevitable lawsuits arrive.

Fox Rothschild’s Securities Industry Practice presents an informative session on implementing risk avoidance techniques to mitigate customer concerns and avert the communication and documentation mistakes that can lead to liability down the road led by Josh Horn and Oksana Wright. The webinar will also focus on the lessons learned from the 2008 recession and how to apply them in the current economic climate.

The Next NSCP Member Call Will Take Place on Monday, April 27

Join us on April 27th 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 is holding weekly member calls. Our next call is
Monday April 27th at 5:30 pm EST/2:30 pm PST. NSCP members will have the opportunity to ask questions, share concerns, and provide resources to fellow members. We will follow up with more information in advance of the call.

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.