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 >

There are Still Ways to Save Money for the Upcoming 2020 Virtual NSCP National Conference!

Maximize your savings and your educational opportunities at the NSCP National Conference this year with our Group pricing.

Whether you’re new to the role or a seasoned industry veteran, the 2020 Virtual NSCP National Conference provides an invaluable professional development opportunity for the whole team. If you register for a group of 3 or more at the same time, you can take advantage of our significant registration discount of just $500 per person.

Not enough people at your firm to make a group? Don’t worry: a group can be made up of people from different firms!

*Please note, to be eligible for these rates, groups must contain a minimum of three attendees and register together.

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

Join us on September 17th 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

NSCP Membership Empowers You

Register for the NSCP 2020 National Conference and Become a Member Now for Savings on Both

Conference Summer savings end August 31st – Register today and choose “Become a Member” to save $50 on Membership at the same time.

Attend the only conference that is “For Compliance, By Compliance.” Become an NSCP member for full access to a community of like-minded people, exceptional experiences, practical and compelling content, and essential tools that empower and inspire.

Last Chance to Save Money on Registration

Summer savings end August 31st – Don’t pay more than you have to!

  • The only conference that’s “For Compliance, By Compliance”
  • Connect and focus on the practical solutions to empower yourself and your compliance program

September 3 Webinar: Best Practices for Private Funds Compliance Programs as a Result of COVID-19 and Market Volatility.

Join us on September 3rd at 2:00pm ET

According to the SEC, these are the heightened risk areas for Private Funds as a result of COVID-19 and market volatility:

  • Business continuity plans
  • Valuation of client assets
  • Liquidity risk management
  • Transactions with affiliates
  • Side-by-side management
  • Use of material non-public information
  • SEC PF risk alert

Join Tito Pombra, President of Adviser Compliance Consulting, Inc.; Drew Weilbacher, Director, Co-Head of Private Funds, Promontory Financial Group; and Amelia Stoj, Chief Compliance Officer and Assistant General Counsel, Foresite Capital as they discuss these risk areas and offer best practices for private funds compliance programs.

Sizzling Hot Summer Sale Ends August 31st

Save $100 by registering now for the
NSCP National Conference before the rates increase.

September 14 NSCP Member Call

NSCP Member Call Series:
Navigating the Regulatory Environment in Response to COVID-19

Join us on Monday, September 14th
5:30 pm ET / 2:30 pm PST

NSCP’s next Member Call will take place on September 14, 2020 at 5:00 pm.

We encourage our members to submit questions and/or agenda items to the NSCP MemberVoice portal. An email with additional details on the featured speaker(s) on the next call, as well as access details, will be provided soon.