Investing During the Crisis: How Private Equity, Hedge Funds and Venture Funds Are Coping With Coronavirus

A Complimentary Webinar Co-Sponsored by Fox Rothschild
Thursday, June 4, 2020 | 2 pm ET | 11 am PT

The COVID-19 pandemic has prompted an increase in private equity, hedge fund and venture fund litigation and transactional issues for compliance professionals, investors and managers.

Fox Rothschild’s Securities Industry Practice presents an informative webinar that explores current industry trends and outlines what to expect for the future. Jon Heyl and Alex Kerzhner will lead a discussion on the following topics:

In-depth look into private equity and hedge fund litigation

  • Mismanagement and misconduct claims
  • Misrepresentations and omissions
  • Participating in Ponzi schemes (wittingly or unwittingly)

Fund operations

  • Redemption and associated issues
  • Concerns associated with management fees and expenses
  • What to know when winding down

Fox uses WebEx technology for webinars. New to WebEx? Click here to join a test meeting. We recommend using the computer audio option.

Don’t Miss Our Upcoming Webinar: Data Governance and Ethics Best Practices

Join us on June 10 at 2:00pm ET

Join us for a webinar covering the foundation of traditional and evolving privacy & data governance laws, recent enforcement cases, as well as governance trends that move beyond disclosures and notices into data mapping, building a program with data stewards and impact assessments so compliance officers are prepared to address data governance issues as many adjust to a changing work environment as a result of COVID-19.

NSCP’s National Conference is Going Virtual – Registration Will Open Soon!

Mark Your Calendar:
October 19-21 (3 full days)
68 Educational Sessions with CE Credit Opportunities
Online Networking Opportunities
And Much More…

Spring Special Rates will be offered the first two weeks of
registration opening.

Don’t miss these discount offers!

CSCP Fall Registration is Open!

Offering Broker-Dealer, Investment Advisers and Dual Registrant Certifications

CSCP is an online graduate-level program offered in partnership with the University of St. Thomas for experienced financial services professionals.

Upon completion of the academic course and the CSCP certification examination (BD, IA, BD/IA), candidates will be granted the CSCP designation offered by NSCP.

What to Disclose and When: SEC Corporate Filing in the Time of COVID-19

A Complimentary Webinar Co-Sponsored by NSCP
Wednesday, May 13, 2020 | 2 pm ET | 11 am PT

The coronavirus pandemic has presented corporate compliance professionals with unprecedented issues affecting disclosures, filings and other SEC requirements. As the deadline for submitting Form 10-Qs approaches for non-accelerated filers, understanding the guidance issued by the SEC will be critical to their 10-Q and other periodic filings.

Fox Rothschild’s Securities Industry Practice presents an informative discussion on a variety of compliance topics related to the COVID-19 pandemic. Laura Holm and Jesse Fishman will lead the discussion, covering a range of subjects, including:

  • SEC guidance contained in CF Disclosure Guidance Topic #9 and its impact on forward-looking statements, MD&A and disclosure controls and procedures
  • Filing an extension for additional time to file your Form 10-Q, 10-K and certain other periodic reports
  • Can companies engage in stock buybacks?
  • Is it necessary to disclose if your CEO or other officers have COVID-19?
  • Effects on periodic reports, proxy statements and other information that needs to be disclosed by companies
  • Virtual shareholder meetings

Heading for Higher Ground: How to Get Ready for the Securities Litigation Tsunami

A Complimentary Webinar Co-Sponsored by Fox Rothschild

Join us on Wednesday, April 29, 2020 | 2 pm ET | 11 am PT.

A potential economic downturn triggered by the COVID-19 outbreak could lead to a wave of securities litigation. Financial industry leaders should be taking steps now to achieve the best position for when the inevitable lawsuits arrive.

Fox Rothschild’s Securities Industry Practice presents an informative session on implementing risk avoidance techniques to mitigate customer concerns and avert the communication and documentation mistakes that can lead to liability down the road led by Josh Horn and Oksana Wright. The webinar will also focus on the lessons learned from the 2008 recession and how to apply them in the current economic climate.

The Next NSCP Member Call Will Take Place on Monday, April 27

Join us on April 27th at 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 weekly member calls. Our next call is
Monday April 27th at 5:30 pm EST/2:30 pm PST. NSCP members will have the opportunity to ask questions, share concerns, and provide resources to fellow members. We will follow up with more information in advance of the call.

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.

Now Open: 2020 NSCP / ACA Compliance Cybersecurity Programs Survey

We’re pleased to announce that we’ve again partnered with the ACA Compliance to provide financial services firms with an opportunity to gain insight into cybersecurity compliance programs across the industry.

We invite you to participate in our anonymous survey which aims to aggregate data on cybersecurity program implementation. The survey takes approximately 15 minutes to complete. Survey results will be presented in a webcast hosted by ACA and NSCP.

The deadline to complete the survey is Friday April 17, 2020.

NSCP Survey for Delay of Reg BI and Form CRS Implementation Date

A Message from NSCP Executive Director Lisa Crossley

As many of you may have read, SEC Chairman, Jay Clayton, made a public statement this morning which included the SEC’s decision to not extend the compliance date for implementation of Regulation Best Interest and Form CRS. Chair Clayton stated, “…firms should continue to make good faith efforts around operational matters to ensure compliance by June 30, 2020, including devoting resources as necessary and available in light of the circumstances.”

NSCP is considering writing a letter to the SEC asking for reconsideration of their decision not to extend the implementation date. In order to have informed content for the letter, we need your help.

We have created a short three question survey which we would appreciate you completing. Your responses will help guide the Comment Letter Ad Hoc Committee in requesting of the SEC what is best for NSCP members under current circumstances.

Thank you in advance for your assistance.
– Lisa

Double Your CE Credits! NSCP Virtual Conference Expanded to 2 Days – April 20 – 21

No need to miss valuable breakout sessions when you can attend all of them. NSCP’s Virtual Conference will now be offered on both Monday, April 20 and Tuesday, April 21 so that attendees can receive even more continuing education credits toward their professional certification programs including CLE, CPE and CSCP*.  As an added value, NSCP will provided recordings of all sessions offered on both days to all registered attendees.  Don’t wait – register now!


*Verification of attendance will be required throughout the virtual session while it is live. Failure to verify at any point will prevent NSCP from providing a certificate for the session(s) in question. At this time, we cannot verify attendance for attendees who listen to recorded sessions and will not provide a certificate of attendance to those who do not attend the live sessions.