SEC Commissioner Hester M. Peirce Provides Insights as Guest Speaker on The Securities Compliance Podcast: Compliance in Context

Securities and Exchange Commissioner Hester M. Peirce was interviewed on Episode 10 of The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee, Halter & Griswold LLP and the National Society of Compliance Professionals, by host Patrick D. Hayes, Senior Counsel and leader of Calfee’s Investment Management practice.

Peirce spoke in-depth on a variety of topics such as Chief Compliance Officer (CCO) liability, outsourced CCOs, the new Marketing Rule, and cryptocurrencies. She also spoke about the new presidential administration, which will bring in a new SEC Chair and Head of Enforcement, and whether she anticipates a slowdown in dialogue that has taken place between the regulators and the industry on the issue of CCO liability.

The Securities Compliance Podcast: Compliance in Context is designed as a personal master class for the securities industry’s legal and compliance professionals. The podcast embodies Hayes’ passion for combining the technical expertise shared by industry thought leaders and innovators with the practical experience of industry professionals and key decision makers.

Click below to listen to the full episode with Commissioner Peirce’s interview.

Listeners will also find the podcast on Apple PodcastGoogle PodcastSpotify, and Stitcher.

So Many Reasons to Attend NCSP’s Educational Seminars

  1. You choose!  Attend as many or as few as you like by choosing the seminar topics that most interest you.
  2. Convenience!  Attend virtually from the comfort of your home or office.
  3. Time Savings!  Join us for two 75-minute educational sessions in a 3-hour time block – then the rest of the day is yours.
  4. Value!  Low cost registration fees fit easily within your budget.
  5. Continuing Education Credits!  2.5 credits offered for CLE and CSCP programs per seminar.
  6. Practical Takeaways!  Receive useful tools, best practices and valuable knowledge to help you succeed.

Registration Now Open for NSCP’s 2021 Events

NSCP’s 12 Virtual Half Day Educational Seminars

JANUARY 28th SEMINARS

1. Starting with the End Results in Mind: Tips for Remote Supervision and
Remote Audits
2. Cybersecurity: Am I a Compliance Officer or an Information Security Officer?


FEBRUARY 18th SEMINARS

3. Incorporating SEC & FINRA Exam Priorities into Your Compliance Program
4. Make it Matter: Effective Risk Management


MARCH 18th SEMINARS

5. Conflicts of Interest: A Closer Look
6. Hot Topics in Compliance: Best Practices for Managing Through Uncertainty


APRIL 27th SEMINARS

7. Essential Skills for Compliance Program Management
8. Communication & Professional Interaction for Compliance Professionals


MAY 25th SEMINARS

9. Maximize Your Vendor Management Program
10. From Theory to Practice: Managing a Robust Code of Ethics Program


JUNE 22nd SEMINARS

11. If you Build It, They Will Come: Leveraging Compliance Technology
& Automation
12. Sharing Solutions: Implementing the New SEC Advertising Rule

Virtual Regulatory Interchange Webinars Featuring FINRA, SEC, DOL and NASAA

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. As 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.

Mark Your Calendar for NSCP Events in 2021

Looking forward to a New Year?
Check out what NSCP has planned for you in 2021

 

NSCP’s Virtual Half Day Educational Seminars

Seminar sessions will cover a variety of  important compliance topics such as:

Remote Supervision & Remote Audits; Cybersecurity; Risk Management; Conflicts of Interest; Compliance Technology & Automation;
Code of Ethics; and much more!

Seminars will be offered on:

  • January 28
  • February 18
  • March 18
  • April 27
  • May 25
  • June 22

Virtual Regulatory Interchange Webinars

Virtual Regulatory Interchanges will feature speakers from these regulatory authorities:

  • FINRA – March 9
  • SEC – May 11
  • Department of Labor – June 8
  • NASAA and State Regulators – July 20

At the Gaylord National in National Harbor, MD

November 8-10

Registration for seminars and webinars will open soon!

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

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.