Register for the 2019 NSCP Spring Conference & Regulatory Interchange April 30 & May 1 in Chicago

Early Bird Discount Available Until March 29th

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange (April 30 – May 1) in Chicago.

Spring Conference Rates*:
Members $375  |  Non-members $570
(*higher rates after March 29th)

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

$40 Discount will be applied if attending both events

Don’t Miss the NSCP Regulatory Interchange with the SEC & FINRA

April 2, 2019 in New York City:
Members $75.00  |  Non Members $150.00

 

The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees.

Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!

*This event is closed to members of the press.

Listen to the latest NSCP Currents Podcast

This month’s feature Podcast is Brad Anderson & Craig Watanabe’s “Business Email Compromise (“BEC”).”

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

SUBSCRIBE & LISTEN TODAY:

Apple iTunes    |    Google Play    |    Stitcher

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

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:
  • FINRA’s 529 Share Class initiative
  • FINRA’s 2019 Annual Risk Monitoring and Examinations Priorities letter SEC brings charges in Edgar Hacking case
Beyond that, our members are discussing these topics:
  • Email Review – Access to Executive Management Emails
  • Social Media Archiving
  • Accepting Trades Via Email
It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.

Women in Compliance – Tuesday, March 19 in New York City

Join us as we honor International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance panelists will be joined by an executive coach that works with women to accelerate their career success. Gain insight and practical advice to help you to succeed in yours.

The Insights You’re Seeking – Delivered by the Experts You Trust

Join us at the NSCP Chicago Spring Conference on April 30, for a full day training event offering a variety of industry hot topics geared for both new and seasoned compliance professionals.

Date: April 30, 2019  |  8:30AM – 5:00 PM

Location: Federal Reserve Bank of Chicago
230 South LaSalle Street
Chicago, IL 60604

Sign up for the NSCP Canadian Compliance Roundtable

Tuesday, March 26, 2019 from 2:00–4:00pm

Sign up for the National Society of Compliance Professionals Canadian Compliance Roundtable meeting, intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable will provide in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs.

Prior to the meeting, we are asking for questions to present to the speakers. Please include your questions during your registration or send them via email to Michele Voytek at michele@nscp.org

Date: Tuesday, March 26, 2019  |  2:00 PM – 4:00 PM

Location: Borden Ladner Gervais LLP
Bay Adelaide Centre, East Tower, 22 Adelaide St W.
Toronto, ONT Canada M5H 4E3

Fees: No cost, but space is limited – register ASAP
Virtual attendance is available

Purchase a MemberAlly Sponsor Package for Premium Benefits.

Gold, Silver and Bronze levels are still available, but time is running out. Secure your priority exhibit placement by Friday, February 15th.

The NSCP MemberALLY Premium Sponsorship program embraces the spirit of partnership for up to twelve (12) partners each year with Gold, Silver and Bronze levels available.

Demonstrate your support for NSCP throughout the year by becoming a MemberALLY.  Our scaled packages offer:

  • Sponsorship recognition
  • Attendance at NSCP Spring Conferences & Regulatory Interchanges
  • Recognition as a MemberALLY exhibitor
  • First choice of booth selection for the NSCP National Conference
  • Exclusive advertising feature on NSCP’s conference website
  • Gold, Silver and Bronze levels are still available.

Direct from SEC and FINRA Regulators to You.

Don’t miss your chance to connect with the SEC & FINRA in Miami on March 4, 2019

The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them before they meet with the SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!

*This event is closed to members of the press.

2018 Best of NSCP Currents Now Available to Members

The 2018 Best of NSCP Currents Now Available

NSCP Currents is the go-to resource for over 2,000 NSCP members and is positioned as the premier compliance publication of the financial services industry. The monthly journal features articles written by colleagues and other highly respected, industry professionals, tackling problems common to financial service firms. This new issues features a collection of highlights from 2018 issues.

NSCP Currents offers compliance professionals:

  • real-world interpretations of securities regulations and their impact to compliance programs,
  • actionable advice on regulatory and industry initiatives, and
  • best-practices, practical tools and functional resources to assist in fulfilling compliance responsibilities.

Learn more about NSCP Membership and its benefits today.