Only 125 Registrations Left at Our Spring Sale Rate

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.

NSCP’s Chicago Spring Conference is available for viewing – anytime, anywhere

Sessions now available to purchase individually.

The recorded sessions from the NSCP Spring Conference that were held in Chicago on April 30th are now available for purchase. Materials and session videos are available in two options:

Member Price: $55 per session or $300 for track A or B (6 sessions)

Non-Member Price: $65 per session or $375 for track A or B (6 sessions)

  • Track A:  Building Core Competencies – BD/IA Training for New Compliance Professionals (6 sessions) View Agenda
  • Track B:  Today’s Issues and Insights – Coverage for Seasoned Professionals (6 sessions) View Agenda

Working Together for More Environmentally and Socially Responsible Conferences

We support Gag the Swag and hope you do as well!

“Gag the Swag” is a recently formed group of buyers and sellers from global firms to start-ups, sharing a goal to find alternatives to environmentally and socially harmful ‘swag’. We’ve joined the conversation and are supporting their efforts at the 2019 NSCP National Conference, we invite you too as well.

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 Cybersecurity Call
  • SEC Risk Alert on Privacy Issues
  • D.C. Circuit Court’s opinion in the Robare case

Beyond that, our members are discussing these topics:

  • Unbilled/Excluded Assets for managed accounts
  • Branch vs. individual representative inspections
  • Implications of temporary administrative help in branch offices

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


The NSCP National Conference is designed to suit your professional and educational needs

Take a look at our Day 2 Agenda

Enhance your compliance skills, receive practical take-aways, gain insights into meaningful solutions, and make many new professional connections at the NSCP National Conference.

Here’s a sneak peak at a few of our sessions on day 2 of the conference:

  • Corporate Governance, Culture and Compliance
  • Enforcement Issues
  • ERISA:  Now and Into the Future
  • Compliance Passport: Perspective Beyond U.S. Borders
  • Best Practices for Adapting to Regulatory Notices
  • Ahead of the Curve Compliance: Blockchain & Digital Assets
  • Integrating and Adapting to Corporate Change
  • Cybersecurity for Small to Mid-size Firms
  • Financial Forensics
  • Trading Compliance Issues
  • Compliance Reimagined: Why Influential Triple Bottom-Line Leaders Will Replace the Status Quo
  • Why Diversity & Inclusion Matter
  • Understanding, Building and Testing Compliance Controls
  • Emotional Intelligence & Interpersonal Skills to Boost Your Clout
  • And much more

Check out the full conference agenda


The NSCP National Conference is the Only Conference “For Compliance, By Compliance”

Take a look at our Day 1 Agenda

The NSCP National Conference allows you to maximize the time you spend away from the office through comprehensive coverage of the topics that impact your daily business, practical take-aways, insights into meaningful solutions, and many opportunities for making new professional connections.

Here’s a sneak peak at a few of our sessions on day 1 of the conference:

  • 5 Components of Extraordinary Teams keynote
  • Regulatory Review & Enforcement panels
  • The 2020 GIPS Standards
  • Anti-corruption, Bribery & Fraud Issues
  • Compliance’s Role in ESG Investing and Corporate Engagement
  • Creating Effective Supervision Structures
  • When Legal & Ethical Considerations Collide
  • Small Firm Decisions: Outsource or Automate?
  • Supporting Women in Compliance
  • Conducting a Mock Exam
  • FinTech & RegTech Innovations
  • And much more

Checkout the full conference agenda


Apply For the NSCP Compliance Scholarship Today

We have established the NSCP Compliance Education Scholarship in memory of those members who have passed. Their dedication and contributions make up the foundation of the NSCP organization and its continued success.

The NSCP Compliance Education Scholarship is designed to benefit those professionals new to the securities compliance industry by offering educational tools to better enhance their knowledge and skill sets within the compliance industry.

NSCP Chicago Spring Conference Video Available to Purchase

The recording from the NSCP Spring Conference held in Chicago on April 30th is available to purchase. Included in this informative event are materials and the video from the following tracks:

  • Track A:  Building Core Competencies – BD/IA Training for New Compliance Professionals
  • Track B:  Today’s Issues and Insights – Coverage for Seasoned Professionals

Member Recording Price:  $300 per track
Non-Member Recording Price: $375 per track

Everything You Want to Know About Business Development Companies


Don’t miss this Webinar on Wednesday, May 8th from 2:00pm–3:00pm EST

Join NSCP and Alaric Compliance Services, LLC for a free webinar discussion on business development companies, the second in our three-part series on Credit Products.

The demand for alternative pooled and/or structured credit products such as Business Development Companies (BDCs), Collateralized Loan Obligation (CLO) vehicles and privately offered alternative credit funds has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks. This accelerating trend is reducing traditional credit exposure and effectively replacing it with exposure to alternative credit strategies and products.

This webinar, the second in a three-part series, will discuss the following topics pertaining to Business Development Companies:

  • The origin and unique status of BDCs under the 1940 Act
  • Differences between the various types of BDCs
  • Key aspects of the hybrid 1940 Act investment company and 1934 Act reporting operating company regulatory treatment of BDCs
  • Everyday compliance issues regarding the investment, operating and marketing activities of BDCs
  • SEC focus areas  

The panelists for this discussion include Guy Talarico, CEO and Founder, Alaric Compliance Services, Carl Rizzo, Director, Alaric Compliance Services and Joseph Hanlon, Chief Compliance Officer, Crescent Capital Group LP.

The third presentation in this series will address topics regarding Collaterized Loan Obligations and is scheduled for June.

The NSCP Mentoring Program is available!

Become a Mentor or Mentee today!

NSCP’s very own Craig Watanabe couldn’t have said it better during our Volunteer Showcase:

“…NSCP is devoted to the development of compliance professionals. The Mentoring Program is a great compliment to the conferences, publications and other NSCP member benefits. However, mentoring holds the potential to be THE MOST beneficial of all NSCP member benefits because the training is tailored to the needs to the mentee…”

It’s here, and it’s available for all of our members to participate in. It’s time to give back and lean in. Don’t underestimate the impact you’ll have!