Paul B. Uhlenhop, Prominent Financial Services Attorney and Long-Time NSCP Member Dies at Age 84

It is with great sadness that we inform you of the passing of Paul B. Uhlenhop. Paul was a member of NSCP for over 30 years. He was a staunch supporter of NSCP and the financial services compliance industry. Paul volunteered endless hours to NSCP participating and chairing several committees, writing for NSCP’s monthly publication, NSCP Currents, and sharing his expertise and knowledge as a frequent speaker at NSCP conferences.

In 2015, Paul received the Joan Hinchman Award as recognition of his contributions to NSCP and advocacy efforts on behalf of financial services compliance professionals.

Above all, Paul was a caring, generous and respectful man. We will sorely miss him being part of our community.

Read the press release >

Two Virtual Seminars for One Low Price

February 18 & April 21

*The SEC & FINRA Exam Priorities session has been postponed from February 18 to April 21 since the 2021 examination priorities have not yet been released.   Registrants will have access to attend both sessions.

Diversity and Inclusion in Financial Services: February 9

Over the past year, the National Association of Black Compliance and Risk Management Professionals and the National Society of Compliance Professionals have contributed to the ongoing conversation related to diversity, equity and inclusion in the financial services industry. As we enter 2021, we are working to build on the progress made over this past year and to turn it into lasting change.

SEC Commissioner Hester M. Peirce Provides Insights as Guest Speaker on The Securities Compliance Podcast: Compliance in Context

Securities and Exchange Commissioner Hester M. Peirce was interviewed on Episode 10 of The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee, Halter & Griswold LLP and the National Society of Compliance Professionals, by host Patrick D. Hayes, Senior Counsel and leader of Calfee’s Investment Management practice.

Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue that has taken place between the regulators and the industry on the issue of CCO liability.

The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry’s legal and compliance professionals. The podcast embodies Hayes’ passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of industry professionals and key decision makers.

Click below to listen to the full episode with Commissioner Peirce’s interview.

Listeners will also find the podcast on Apple PodcastGoogle PodcastSpotify, and Stitcher.

So Many Reasons to Attend NCSP’s Educational Seminars

  1. You choose!  Attend as many or as few as you like by choosing the seminar topics that most interest you.
  2. Convenience!  Attend virtually from the comfort of your home or office.
  3. Time Savings!  Join us for two 75-minute educational sessions in a 3-hour time block – then the rest of the day is yours.
  4. Value!  Low cost registration fees fit easily within your budget.
  5. Continuing Education Credits!  2.5 credits offered for CLE and CSCP programs per seminar.
  6. Practical Takeaways!  Receive useful tools, best practices and valuable knowledge to help you succeed.

Registration Now Open for NSCP’s 2021 Events

NSCP’s 12 Virtual Half Day Educational Seminars

JANUARY 28th SEMINARS

1. Starting with the End Results in Mind: Tips for Remote Supervision and
Remote Audits
2. Cybersecurity: Am I a Compliance Officer or an Information Security Officer?


FEBRUARY 18th SEMINARS

3. Incorporating SEC & FINRA Exam Priorities into Your Compliance Program
4. Make it Matter: Effective Risk Management


MARCH 18th SEMINARS

5. Conflicts of Interest: A Closer Look
6. Hot Topics in Compliance: Best Practices for Managing Through Uncertainty


APRIL 27th SEMINARS

7. Essential Skills for Compliance Program Management
8. Communication & Professional Interaction for Compliance Professionals


MAY 25th SEMINARS

9. Maximize Your Vendor Management Program
10. From Theory to Practice: Managing a Robust Code of Ethics Program


JUNE 22nd SEMINARS

11. If you Build It, They Will Come: Leveraging Compliance Technology
& Automation
12. Sharing Solutions: Implementing the New SEC Advertising Rule

Virtual Regulatory Interchange Webinars Featuring FINRA, SEC, DOL and NASAA

Listen & Subscribe to The Securities Compliance Podcast

A personal master class for the securities legal and compliance professional

NSCP presents The Securities Compliance Podcast, hosted by Patrick Hayes, investment management counsel at Calfee, Halter & Griswold. As a personal master class for the securities legal and compliance professional, Patrick’s passion is to help you put Compliance In Context™ by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers.

Listen today to help elevate your firm’s compliance program and take your career to new heights.

Mark Your Calendar for NSCP Events in 2021

Looking forward to a New Year?
Check out what NSCP has planned for you in 2021

 

NSCP’s Virtual Half Day Educational Seminars

Seminar sessions will cover a variety of  important compliance topics such as:

Remote Supervision & Remote Audits; Cybersecurity; Risk Management; Conflicts of Interest; Compliance Technology & Automation;
Code of Ethics; and much more!

Seminars will be offered on:

  • January 28
  • February 18
  • March 18
  • April 27
  • May 25
  • June 22

Virtual Regulatory Interchange Webinars

Virtual Regulatory Interchanges will feature speakers from these regulatory authorities:

  • FINRA – March 9
  • SEC – May 11
  • Department of Labor – June 8
  • NASAA and State Regulators – July 20

At the Gaylord National in National Harbor, MD

November 8-10

Registration for seminars and webinars will open soon!

Join Our CSCP Program!

NSCP is offering a restructured Certified Securities Compliance Professional (CSCP) program in partnership with the University of St. Thomas. CSCP is a graduate-level program for experienced financial services professionals. Upon completion of the academic course and passing the CSCP certification examination, candidates will be granted the CSCP designation offered by NSCP.

December 7 Webinar: Women of Color in Compliance

Women of Color in Compliance

Join us on Monday, December 7, 2020  at 2:00 pm ET

“If they don’t give you a seat at the table, bring a folding chair.”
― Shirley Chisholm

Women of color are facing unique and difficult barriers in the workplace, and opportunities may seem less tangible.

Join us for a candid discussion from a distinguished panel of women about how to navigate a career in compliance (and more broadly the financial services industry) as a woman of color. Panelists Mitzie Pierre, Chief Compliance Officer, IFM Investors, Dorinda Walker, Founder & CEO of Cultural Solutions Group and head of LEAD360 [HER] and moderator Hope Newsome, Managing Partner, Virtus LLP will discuss their career path and their experiences, challenges faced, ways to overcome the challenges and techniques to assist you with not only navigating, but advancing a career in the compliance profession.