Join Our CSCP Program!

NSCP is 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.

The Denver 2020 Regulatory Interchange is Now Virtual!

Join us on July 24, 9:00 am –12:15 pm

Don’t miss our NSCP Regulatory Interchange with the SEC, DOL & FINRA:

The NSCP Regulatory Interchange will provide an informal virtual setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to hear from the regulators and ask questions.

Click below for more information and to register today!


Save $100 on the 2020 NSCP National Conference Registration – Special Rate Ends June 14th

Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office.
October 19–21, 2020

A Message from NSCP’s Executive Director and Board Chair

NSCP as an organization is committed to diversity and inclusion. The Staff and Leadership of the NSCP are saddened and distressed by the events of the past week and stand against discrimination, systemic racism, and bigotry of any kind. This organization’s motto – For Compliance, By Compliance – underlies our commitment to inclusion across race, gender, age, religion, identity, and experience. We are committed to our membership reflecting diversity and inclusion, and we are intent on furthering that diversity by empowering all compliance professionals to pursue their goals and fulfill their career aspirations. For those members who have been impacted by the recent events – whether the death of George Floyd and the many similar incidents in the US that preceded it or the COVID-19 pandemic and the discrimination that followed – we see you, we hear you and we stand with you.

In furtherance of our goals and in order to do more than just issue a statement, the Staff and Leadership of the NSCP will continue to work with the NSCP Diversity and Inclusion Committee to facilitate the important and necessary conversations around racial injustice and continue to provide diversity and inclusion resources for members to assist in creating communities that are truly collaborative and inclusive.

Lisa Crossley
Executive Director, NSCP

Bruce Karpati,
Chair, NSCP Board of Directors

June 18 Webinar: How to Navigate Regulatory Change During a Pandemic

Don’t Miss Our Upcoming Webinar: How to Navigate Regulatory Change During a Pandemic
Join us on June 18th at 2:00pm ET

As the pandemic drags the economy into recession, multiple federal agencies – including the Federal Reserve, the Federal Deposit Insurance Corporation, and the Consumer Financial Protection Bureau – have pledged to help businesses survive the downturn. The regulators are also urging banks to do their part during this global crisis. Regulators recommend that financial institutions work constructively with borrowers and other customers in affected communities.

In this webinar, we will explore how banks can proactively navigate and advise around regulatory changes as we slowly come out of the “stay at home” period and how we can minimize the negative effects it will have on the industry as we move forward in 2020.

June 16th Webinar: New Focus Areas and How Compliance Programs Need to Change for 2020

Don’t Miss Our Upcoming Webinar – Forward Thinking: New Focus Areas and How Compliance Programs Need to
Change for 2020

Join us on June 16 at 2:00pm ET

Sheltering-in policies have required firms to work remotely and adjust the way they communicate with their clients – and each other. Join James Smith, Senior Compliance Consultant, Core Compliance & Legal Services, and Robert Ross, Senior Vice President and Chief Compliance and Risk Officer, Boston Private, in this webinar exploring integral areas that all broker-dealers and registered investment advisers should consider, particularly in response to COVID-19 and what their compliance programs need to include as we all look ahead toward the future.

In this webinar, we will provide and cover:

  • An overview of regulatory expectations for disaster preparedness
  • Business continuity – have you done enough and documented how you responded to the pandemic?
  • Cybersecurity, internal controls and supervisory considerations for working remotely
  • Client and vendor communications – regulatory guidance on what you should include
  • A checklist of how to mitigate business and compliance risks going forward

NSCP National Conference is Virtual! Register today for Lowest Rates

Participate in this Virtual Conference from the comfort, convenience and safety of your own home or office. October 19–21, 2020. Offer available until June 14th.


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!