DOL Fiduciary Proposal and Intersection with Other Standards of Conduct

Join us on August 10th at 2:00pm ET

Join Eversheds Sutherland attorneys, Carol McClarnon and Issa Hanna, and Jeannie Lewis from William Blair as they review and discuss the DOL Fiduciary Proposal. These speakers will provide an update on the emerging patchwork of standards of conduct applicable to broker-dealers, investment advisers, insurance distributors and other intermediaries. The program will also include a comparative analysis of the different standards of conduct that will highlight opportunities for firms to leverage existing compliance infrastructure, as well as potential gaps they should be considering.

Monday August 3rd Member Call

Monday August 3rd Member Call: Navigating the Regulatory Environment in Response to COVID-19

Join us on Monday, August 3rd 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 monthly member calls. Our next call is  Monday, August 3rd at 5:30 pm EST/2:30 pm PST. Monday’s guest speaker will be Craig Moreshead, Managing Director, Foreside Financial. Mr. Moreshead will be discussing vendor due diligence, including sub-advisers, in the age of COVID-19.  He will also discuss questions to consider before outsourcing your firm’s CCO position.

If there are specific questions or issues you wish to have guidance on, please post on NSCP’s MemberVoice portal.

We encourage you to post your questions and assist other members in answering their questions regarding COVID-19 regulatory concerns on NSCP’s Compliance Forum or Industry Forums.

Members no longer need to register for these events. Login and access the event details here:

Not a Member? Become one today: https://nscp.org/membership

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

Forward Thinking: New Cybersecurity Considerations for 2020 and Beyond

Join us on August 4th at 2:00pm ET

If there is one thing firms, the industry and the workforce learned from COVID-19, it is that remote capabilities and effective cybersecurity measures are now not only a benefit, but also a necessity during these unprecedented times of transition. As broker-dealers and registered investment advisers have had to transition to working-from-home, new cybersecurity risks have continued to emerge and with new risks certain considerations may go unnoticed. In this webinar, we will explore the multi-faceted challenges currently facing the industry and the tools that broker-dealers and registered investment advisers are using to address cybersecurity issues and concerns as they evolve.

In partnership with NSCP, Adam Stutz, Compliance Consultant, Core Compliance & Legal Services, Inc. and Nicole Dragoo, COO/CCO, Chandler Asset Management will be discussing these issues, where attendees will be able to learn:

  • Lessons learned from hurdles encountered while working-from-home
  • Steps on how to identify risk factors and areas of weakness
  • The keys to ensuring your staff understands their role in preventing exposures, especially in a remote work environment
  • Best practices for managing their data, including storage, backup and dealing with data sprawl
  • How to determine the right risk management solution for their companies
  • How to assess the best cybersecurity methods to implement at your firm
  • Review of the SEC OCIE July 2020 Risk Alert on  Cybersecurity: Ransomware Alert

68 Sessions to Choose From at the NSCP National Conference

Gain practical tools and enhance your compliance skills in sessions facilitated by industry experts

Here’s a sampling of our sessions for all industry areas:

  • Creating Effective Oversight Structures
  • Ethics of Technology
  • Preparation for Disasters, Pandemics and Other Unexpected Events
  • Protecting Vulnerable Adults
  • Compliance Passport: Perspective Beyond the U.S. Borders
  • Cultural Intelligence and Bias
  • The Roles of Compliance During Corporate Change
  • Understanding the SEC’s Proposed Advertising Rules
  • Institutional Conflicts of Interest
  • Locating and Remediating Cybersecurity Issues
  • Essential Issues Impacting Retirement Accounts
  • FinTech & RegTech Innovations
  • The Cannabis Compliance Conundrum
  • Effective Written and Oral Business Communications
  • FCPA and Other Fraud Concerns
  • Beware: State Rules May Impact Federally Registered Firms
  • Small Firm Application of Reg BI
  • The Impact of Digital Assets on Your Compliance Program

 

 

 

Last Chance to Register – NSCP Midwest Regulatory Interchange on July 24

Register Now
NSCP Midwest Regulatory Interchange – Virtual
July 24th (9:00 AM – 12:15 PM Mountain Time)

Hear SEC, FINRA and DOL Regulators address the compliance questions and topics that matter most to you.

NSCP July 28th Webinar at 2:00pm ET

Don’t Miss Our Upcoming Webinar:  What Do We Mean by Diversity and Inclusion, and Why it Matters to Compliance Professionals

When employees are engaged and feel connected to an organization, they are more likely to embrace and uphold the culture of compliance. Unfortunately, recent studies have shown close to 70% of corporate workers feel disengaged and disconnected from their company.

Presented by the NSCP Diversity & Inclusion Committee, this webinar will discuss what is meant by diversity, inclusion, and privilege. Using publicly available metrics, survey results and other data, this webinar will explain how the feelings of belonging and loyalty to a company – which affect the culture of compliance – can be tied to diversity, inclusion, and equity (equal pay, benefits, cultural considerations, etc.). It will also review external influences driving diversity and inclusion efforts.

 

2 Ways to Save: Group Discount or Become-a-Member

NSCP National Conference  October 19-21, 2020 – Virtual

Register with 3 or More Colleagues to get the Group Discount OR Save $50 on Annual NSCP Membership when you Register for the Conference

This year’s NSCP Virtual National Conference promises insightful content, powerful presentations and virtual networking opportunities.  We want you to be a part of it! And we also want you to stay a part of it!

Consider becoming a member when you register this year; unlocking access to our professional community and take your onsite networking and collaboration online, all year round. Be sure to coordinate your registration plans with your colleagues so that 3 or more can register together to receive the best discount rate of $500 per person.

Hear from SEC, FINRA and DOL Regulators On the Topics that Matter Most to You

Register Now!
NSCP Midwest Regulatory Interchange – Virtual
July 24th (9:00 AM – 12:15 PM Mountain Time)

We’ve Enlisted the Best Speakers

Register for the 2020 Virtual NSCP Conference now to hear these compliance experts share valuable information and practical tools.

Check out our full line-up of conference speakers on the agenda.

NSCP Quarterly Member Bulletin

A Look at What We Accomplished Together in the Second Quarter of 2020

As the second quarter of 2020 concludes, we want to reflect on the many accomplishments of our Members and Volunteers over the past three months.

So what happened?

Our members discussed these topics in the Compliance Forum:  

  • Unannounced branch exams
  • Business concerns in lieu of COVID-19
  • Form CRS for state registered RIAs

Topics from our monthly Broker-Dealer and Investment Advisor Forum touchpoints included:

  • FINRA warns of fraudulent phishing emails purporting to be from FINRA
  • Insider trading case against private equity firm
  • FINRA guidance on remote location supervision

This quarter’s Municipal Advisor and Private Funds Forum touchpoints discussed:

  • Regulatory relief from the SEC and MSRB
  • SEC enforcements/exams and COVID-19
NSCP hosted the 2020 Virtual Spring Conference in April 2020. We also opened registration for our 2020 National Conference!

As always – our priority is YOU. With the support of our working Committees, we are reviewing and redefining the experience our Members have on their professional journey. At our core, NSCP remains dedicated to creating a professional community,  “For Compliance – By Compliance.”

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