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.


GIPS Reports – Decisions, Insights and 2020 Interpretations

Join us on November 17th at 2:00pm ET

Tailored for CCOs, Janice Kitzman and Kim Cash, Cascade Compliance, and two industry compliance professionals, Grace Man, Franklin Templeton, and Irina Gorokhov, Metis Global, will highlight need-to-know reporting guidance published by the CFA Institute in the past few months.  With December 2020 performance, GIPS compliant firms must have updated GIPS Reports.  It’s the final deadline in the transition to the updated GIPS standards. This webinar will help you prepare and confirm best practices for your firm, covering:

  • Most-asked 2020 transition questions;
  • When to use GIPS Composite Reports or GIPS Fund Reports, or both; and
  • New guidance for presenting model and prior firm performance, and database implications.

Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices

Join us on November 12 at 2:00pm ET

Senior investors represent a high percentage of most firms’ assets under management. This group of investors has special considerations – from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What steps are your firms taking to protect this investor group, and is it enough?

Speaking on this subject area, in partnership with NSCP, are two industry veterans:

  • Michelle L. Jacko (CEO of Core Compliance & Legal Services and Managing Partner, Jacko Law Group, PC and two-time NSCP Board Member)
  • Robert Hille (CCO/General Counsel of Laird Norton Wealth Management) will specifically address some of the industry’s most pressing questions regarding senior and vulnerable investor protections.

    Attendees of the webinar will learn:

  1. SEC expectations for protecting seniors
  2. New senior investor scams seen during the COVID-19 period
  3. How to build a compliance program to protect best practices and regulatory considerations/responses, specifically for senior investors
  4. Why the Senior Safe Act should be considered for implementation
  5. Best practices for identifying and responding to senior exploitation

December 3: NSCP Northeast Regulatory Interchange

Register now for this Virtual Event on December 3rd

Hear SEC, FINRA and DOL regulators address the compliance questions and topics that matter most to you. This event is eligible for CSCP credits.

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. 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.


Last Call to Register!

The NSCP National Conference will be starting soon. Don’t be left out!

The 2020 NSCP National Conference features dynamic keynote speakers, educational agendas and the opportunity to connect with peers and empower yourself and your compliance program. Don’t miss out on the many benefits that come with being part of the only conference that’s “For Compliance, By Compliance.”

What you could miss if you don’t register for the 2020 NSCP National Conference

Keynote Addresses by:
SEC Commissioner Peirce
Christian Hunt on “Human Risk”
FINRA President Robert Cook

68 Educational and Regulatory Sessions
For all interest and learning levels
Basic, Intermediate & Advanced

Virtual Connections and Chat Rooms

Earn Continuing Education Credits:
15 CLE Credits
18 CPE Credits
18 CSCP Credits


What Would Make a Compliance Officer Happy?

A confirmed registration to the NSCP National Conference.  Give the gift of education to yourself.

NSCP Quarterly Member Bulletin: Third Quarter 2020

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

As the third 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:  

  • Special assistance with Series 65 and Series 7
  • IA compliance requirements for political contributions
  • P&Ps surrounding text messages

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

  • Fraudsters using registered representatives names to establish imposter websites
  • SEC changes definition of accredited investor
  • Fake FINRA website

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

  • Exam trends for municipal advisors
  • The proposed fund valuation rule

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.

Still Unsure About Attending?

Take a sneak peek at the latest edition of Currents to learn more about this year’s virtual NSCP National Conference!

NSCP Currents is the premier compliance publication of the financial services industry. Available exclusively to NSCP members, we are delighted to share our 2020 NSCP National Conference special issue with you.

Read more about the exciting things happening at this year’s virtual conference.

We hope you will join us October 19-21!

Register for the Conference >