NSCP Goes Virtual! Join us for our Spring Conference April 20th

NSCP takes great pride in delivering quality education coupled with exemplary networking opportunities through our in-person events. However, due to the recent travel and meeting restrictions, NSCP’s Spring Conference on April 20 will go virtual.

Good news! NSCP will continue to offer certificates of attendance for continuing education programs*, including CLE, CPE and CSCP, to attendees participating in the live virtual conference. All you need is a computer and a stable Internet connection to participate.
All registrants will also receive recordings of all sessions that can be watched at later dates.

We look forward to having you join us!

*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.

Don’t Miss Our March 26th Webinar: BD – Creating Effective Supervision Structures

Join us on March 26th at 2:00pm EST

This webinar will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Centralized versus decentralized supervisory structures will be compared and contrasted. The discussion will then focus on factors specific to the business model and personnel that may favor a centralized or decentralized structure. Finally, supervisory controls and monitoring will be covered.

Learning Objectives:

  • Explore the roles and responsibilities of compliance oversight and performing supervisory functions
  • Compare and contrast centralized versus decentralized supervisory structures and what factors favor one over the other
  • Integrating and effectively utilizing technological solutions in the supervisory structure
  • Designing and implementing effective supervisory controls tailored to the business model and considerations for monitoring of the supervisory system
  • Vetting and oversight of third-party records retention providers

Daniel Korb, Principal, Bressler Amery & Ross
Kurt Lofgren, Senior Vice President, LPL Financial

Register for the NSCP Spring Conference in Chicago on April 20

Don’t miss our coverage of the most relevant compliance topics!

Emerging Regulatory Issues Keynote Panel

Find out how compliance professionals are addressing key issues such as ESG, cannabis and various retirement topics in light of regulatory priorities from FINRA, SEC and DOL.

Don’t Miss These Breakout Sessions:

  • Proposed Amendments and Practical Applications to the Advertising Rules
  • Legally but Ethically Questionable Situations
  • Fundamentals of Compliance Testing
  • Working with Stakeholders
  • Regulation Best Interest for Broker Dealers and Dual Registrants
  • Risk Mitigation and the Management of Third-Party Vendors
  • Understanding the Requirements of ADV Part 3
  • Cross Border Regulations
  • Conflicts of Interest
  • Advanced Risk Management of Data Privacy and Cybersecurity

Save $40 by also registering to attend the NSCP Regulatory Interchange on April 21st in the same location!

Listen to the Latest NSCP Podcast

Our latest podcast features a reading of the NSCP Currents article “Infusing Diversity & Inclusion Into Your Compliance Program,” written by Shachi Bhatt, Chief Compliance Officer at the Office of the NYC Comptroller.

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

Apple iTunes
    |    Google Play    |    Stitcher

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

Register now and save big for NSCP’s Chicago Spring Conference and Regulatory Interchange

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange in Chicago, April 20 & 21

Early Bird discount available through March 6th

Spring Conference Rates*:
Members $375  |  Non-members $575
(*higher rates after March 6th)

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

$40 Discount will be applied if attending both events

The NSCP Affinity Program Provides Members Exclusive Discounts On Products And Services

Thank you to Compliance Solutions Strategies for being the first to sign up for the NSCP Affinity Program. See their 10% discount on their Form CRS Automator.



Not an NSCP Member?
Learn about membership benefits & join today!

NSCP Submits Comment Letter on Proposed Advertising and Cash Solicitation Rules

NSCP has submitted a comment letter on proposed amendments to Rule 206(4)-1 (the Advertising Rule) and Rule 206(4)-3 (the Solicitation Rule) under the Investment Advisers Act of 1940. The comments relate to the obligations of Chief Compliance Officers under the proposed amendments to the Advertising and Solicitation Rules.

NSCP would like to express its gratitude to the members of the ad hoc Comment Letter Committee for their time in preparing the comment letter on behalf of NSCP members.

Genna Garver, Partner, Troutman Sanders LLP (Chair)
Jeffrey Blumberg, Partner, Faegre Drinker Biddle & Reath LLP
Michelle Canela, Director, Compliance, Intech Investment Management LLC
Steven Hansen Esq., Morgan Lewis & Bockius LLP
Mitzie Pierre, Chief Compliance Officer, IFM Investors

If you are interested in volunteering to assist with writing future comment letters, please login to the NSCP MemberCenter and join our Forums and Committees today.

Join Our New CSCP Program!

NSCP is now 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 the CSCP certification examination, candidates will be granted the CSCP designation offered by NSCP.

Join us for four webinars based on National Conference sessions!

If you missed these sessions at the 2019 NSCP National Conference, please join us for four webinars based on conference sessions.


Have You Registered for the 2020 Regulatory Interchange in Denver Yet?

Don’t miss this opportunity to interact with FINRA and SEC regulators and hear about the latest regulatory initiatives on March 18 in Denver, CO.

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 the issues most pressing to them before meeting with regulators.