The Early Bird Rate is Gone but There Are Still Ways to Save Big!

Maximize your savings and your educational opportunities at the NSCP National Conference this year with our Group pricing

Whether you’re new to the role or a seasoned industry veteran, the NSCP National Conference provides an invaluable professional development opportunity for the whole team.

Come one, come all – but if you come in a group of 3 or more, take advantage of our significant registration discount of just $950 per person.

Not enough people at your firm to make a group? Don’t worry: a group can be made up of people from different firms!

*Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register togetherService providers are not eligible for the group rate.

 

What Happened When NSCP Met with Regulators?

Over the past several months, NSCP representatives held ten meetings with FINRA, the SEC and NASAA. These meetings gave NSCP representatives the opportunity to express NSCP members’ regulatory, examination, and enforcement concerns, both on the federal and state level. The meetings also provided an opportunity for FINRA, the SEC and NASAA to share their current regulatory priorities.

We have written summaries for each meeting in order to share our efforts with NSCP members on their behalf as well as provide insight into current regulatory undertakings.

Please contact the NSCP staff if you have any questions regarding the meetings.

NSCP August Industry Forum Insights

The industry’s source for the thoughtful analysis of current events

NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:

  • SEC Retail Strategy Task Force to host roundtable on combating elder investor fraud
  • SEC and FINRA statement on custody of digital assets
  • OCIE risk alert on employing people with disciplinary histories

Beyond that, our members are discussing these topics:

  • Outside business activities
  • Duplicate statements for compliance review
  • Marijuana related businesses

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.

Introducing Beth Haddock: Keynote Speaker at the NSCP National Conference

Beth Haddock is a compliance executive specializing in building & managing governance programs. She is Managing Partner at Warburton Advisers, a boutique firm providing compliance consulting, coaching and micro-training videos. Beth is also the author of Triple Bottom-Line Compliance, How to Deliver Protection, Productivity and Impact and the host of a new podcast, “What’s Ethical?”

In this keynote, Beth will address “Compliance Reimagined: Why Influential Triple Bottom-Line Leaders Will Replace the Status Quo.” Learning objectives include why it’s time to reimagine the role of compliance as sustainable governance; what it means to deliver a sustainable Triple-Bottom Line compliance program; and how to deliver a Triple-Line of protection and increased productivity and impact.

Take Advantage of Our Group Rate Pricing

 

Maximize your savings and your educational opportunities at the NSCP National Conference this year

Whether you’re new to the role or a seasoned industry veteran, the NSCP National Conference provides an invaluable professional development opportunity for the whole team.

Come one, come all – but if you come in a group of 3 or more, take advantage of our significant registration discount of just $950 per person.

*Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register together.

Introducing Dov Seidman: Keynote Speaker at the NSCP National Conference

For 25 years, Dov Seidman’s pioneering organization, LRN, has helped some of the world’s most respected companies build “do it right” winning cultures and inspire principled performance throughout their organizations. Seidman’s distinct vision of the world, business, human endeavor, and ethics and compliance has helped enable more than 25 million people doing business in more than 120 countries to outbehave the competition.

In this keynote Dov will share that only one kind of leadership can respond to this moral crisis of trust—and that’s moral leadership. He will also share that in today’s interconnected and interdependent world, people and organizations stand to gain by dedicating new thought and energy to HOW they do what they do.

NSCP Industry Forum Insights

The industry’s source for the thoughtful analysis of current events

NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:

  • Regulation Best Interest
  • Form CRS
  • SEC Concept release on private offerings

Beyond that, our members are discussing these topics:

  • Software to detect insider trading, frontrunning, and for COE attestation
  • Books – gifts or advertising?
  • Who does the CCO report to?

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.

Introducing Lee Rubin: Keynote Speaker at the NSCP National Conference

 

Join us for our opening keynote address featuring Lee Rubin. Everyone is a player in the game of life, but Lee knows what it takes to win on a consistent basis. Drawing from his experience as a major collegiate athlete, corporate professional, and renowned speaker, Lee offers clear insights that communicate winning strategies and principles on how to build extraordinary teams.

Don’t Miss Our July 30th Webinar: “Enhancing Your Annual Review Process”

 

Don’t miss this Webinar on Tuesday, July 30th from 2:00pm–3:00pm EST

The Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving business models. This annual evaluation process allows firms to examine what they are doing, how they’re doing it, the efficacy of their procedures, allowing firms the opportunity to report and adjust for any risks or gaps within their compliance program.

But how do you know if your testing within your annual review is right and accurate? And are you really testing “everything”? Is there a “risk stone” unturned that you may not have noticed? Tina Mitchell (Lead Sr. Compliance Consultant, Core Compliance) and Matt Lovett (Chief Compliance Officer, Brookstone Capital Management) will provide their key industry insights to assist firms in enhancing their Annual Review process.

Our panelists understand that navigating this process can be difficult and running the same tests from last year during your annual review isn’t enough. By attending the “Enhancing Your Annual Review Process” webinar, attendees will learn:

  • How to assess and enhance your past annual review process
  • Key considerations for your firm’s evaluation process
  • Best practices to tackle the testing and surveillance process
  • Tips of planning your firm’s next annual review