Don’t Miss Our July 30th Webinar: “Enhancing Your Annual Review Process”

 

Don’t miss this Webinar on Tuesday, July 30th from 2:00pm–3:00pm EST

The Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving business models. This annual evaluation process allows firms to examine what they are doing, how they’re doing it, the efficacy of their procedures, allowing firms the opportunity to report and adjust for any risks or gaps within their compliance program.

But how do you know if your testing within your annual review is right and accurate? And are you really testing “everything”? Is there a “risk stone” unturned that you may not have noticed? Tina Mitchell (Lead Sr. Compliance Consultant, Core Compliance) and Matt Lovett (Chief Compliance Officer, Brookstone Capital Management) will provide their key industry insights to assist firms in enhancing their Annual Review process.

Our panelists understand that navigating this process can be difficult and running the same tests from last year during your annual review isn’t enough. By attending the “Enhancing Your Annual Review Process” webinar, attendees will learn:

  • How to assess and enhance your past annual review process
  • Key considerations for your firm’s evaluation process
  • Best practices to tackle the testing and surveillance process
  • Tips of planning your firm’s next annual review

This year’s National Conference has a packed agenda, and we’ve enlisted the best speakers.

“For Compliance, by Compliance” Realized at the National Conference

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

Listen to the June NSCP Currents Podcast

This month’s feature Podcast is Janaya Moscony’s “The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting.”

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

SUBSCRIBE & LISTEN TODAY:

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 Today: Labs are Going Quickly

The NSCP National Conference offers a unique and interactive learning environment in lab sessions, BUT, seating is limited…

Labs are hands-on learning sessions designed to provide real life application where attendees engage in discussions, share their thoughts and experiences, and benefit from mutual learning. Labs are effective for stimulating a dynamic learning environment with active participation from attendees and the sharing of practical and useful tools.

Featuring Our Most Sought-After Lab Sessions:
  • Compliance’s Role in ESG Investing and Corporate Engagement
  • When is an Advertisement Deemed to be Misleading?
  • Roadmap to Conducting Annual Compliance Reviews
  • Regulatory Exams: Best Preparation
  • Records Management
  • Testing the Written Policies & Procedures
  • Risk Identification & Creating a Risk Matrix
  • Financial Forensics
  • Initial and On-going Vendor Due Diligence and Oversight
  • Conducting a Mock Exam
  • Conflicts of Interest & Employee Reporting Requirements
  • Social Media Networking for Compliance Officers

Only 125 Registrations Left at Our Spring Sale Rate

Maximize your savings and your educational opportunities at the NSCP National Conference this year!

Whether you’re new to the role or a seasoned industry veteran, the NSCP National Conference provides an invaluable professional development opportunity for the whole team.

NSCP’s Chicago Spring Conference is available for viewing – anytime, anywhere

Sessions now available to purchase individually.

The recorded sessions from the NSCP Spring Conference that were held in Chicago on April 30th are now available for purchase. Materials and session videos are available in two options:

Member Price: $55 per session or $300 for track A or B (6 sessions)

Non-Member Price: $65 per session or $375 for track A or B (6 sessions)

  • Track A:  Building Core Competencies – BD/IA Training for New Compliance Professionals (6 sessions) View Agenda
  • Track B:  Today’s Issues and Insights – Coverage for Seasoned Professionals (6 sessions) View Agenda

Working Together for More Environmentally and Socially Responsible Conferences

We support Gag the Swag and hope you do as well!

“Gag the Swag” is a recently formed group of buyers and sellers from global firms to start-ups, sharing a goal to find alternatives to environmentally and socially harmful ‘swag’. We’ve joined the conversation and are supporting their efforts at the 2019 NSCP National Conference, we invite you too as well.

NSCP Industry Forum Insights

The industry’s source for the thoughtful analysis of current events

NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:

  • FINRA Cybersecurity Call
  • SEC Risk Alert on Privacy Issues
  • D.C. Circuit Court’s opinion in the Robare case

Beyond that, our members are discussing these topics:

  • Unbilled/Excluded Assets for managed accounts
  • Branch vs. individual representative inspections
  • Implications of temporary administrative help in branch offices

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

 

The NSCP National Conference is designed to suit your professional and educational needs

Take a look at our Day 2 Agenda

Enhance your compliance skills, receive practical take-aways, gain insights into meaningful solutions, and make many new professional connections at the NSCP National Conference.

Here’s a sneak peak at a few of our sessions on day 2 of the conference:

  • Corporate Governance, Culture and Compliance
  • Enforcement Issues
  • ERISA:  Now and Into the Future
  • Compliance Passport: Perspective Beyond U.S. Borders
  • Best Practices for Adapting to Regulatory Notices
  • Ahead of the Curve Compliance: Blockchain & Digital Assets
  • Integrating and Adapting to Corporate Change
  • Cybersecurity for Small to Mid-size Firms
  • Financial Forensics
  • Trading Compliance Issues
  • Compliance Reimagined: Why Influential Triple Bottom-Line Leaders Will Replace the Status Quo
  • Why Diversity & Inclusion Matter
  • Understanding, Building and Testing Compliance Controls
  • Emotional Intelligence & Interpersonal Skills to Boost Your Clout
  • And much more

Check out the full conference agenda

 

The NSCP National Conference is the Only Conference “For Compliance, By Compliance”

Take a look at our Day 1 Agenda

The NSCP National Conference allows you to maximize the time you spend away from the office through comprehensive coverage of the topics that impact your daily business, practical take-aways, insights into meaningful solutions, and many opportunities for making new professional connections.

Here’s a sneak peak at a few of our sessions on day 1 of the conference:

  • 5 Components of Extraordinary Teams keynote
  • Regulatory Review & Enforcement panels
  • The 2020 GIPS Standards
  • Anti-corruption, Bribery & Fraud Issues
  • Compliance’s Role in ESG Investing and Corporate Engagement
  • Creating Effective Supervision Structures
  • When Legal & Ethical Considerations Collide
  • Small Firm Decisions: Outsource or Automate?
  • Supporting Women in Compliance
  • Conducting a Mock Exam
  • FinTech & RegTech Innovations
  • And much more

Checkout the full conference agenda