Direct from SEC and FINRA Regulators to You.

Don’t miss your chance to connect with the SEC & FINRA in Miami on March 4, 2019

The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them before they meet with the SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!

*This event is closed to members of the press.

2018 Best of NSCP Currents Now Available to Members

The 2018 Best of NSCP Currents Now Available

NSCP Currents is the go-to resource for over 2,000 NSCP members and is positioned as the premier compliance publication of the financial services industry. The monthly journal features articles written by colleagues and other highly respected, industry professionals, tackling problems common to financial service firms. This new issues features a collection of highlights from 2018 issues.

NSCP Currents offers compliance professionals:

  • real-world interpretations of securities regulations and their impact to compliance programs,
  • actionable advice on regulatory and industry initiatives, and
  • best-practices, practical tools and functional resources to assist in fulfilling compliance responsibilities.

Learn more about NSCP Membership and its benefits today.

 

 

Attention Exhibitors & Sponsors: Registration is Open!

Sponsorship packages to fit any size budget and business.

We look forward to seeing you in Maryland!
October 21-23, 2019 at the Hilton Baltimore, Maryland

Questions? Contact Tessa Ayala at 860-419-5006 or tayala@nscp.org

Register for our Regulatory Interchange in Miami on March 4, 2019

Register for our Regulatory Interchange in Miami on March 4, 2019

Don’t miss our NSCP Regulatory Interchange with the SEC & FINRA.

The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss the issues most pressing to them before they meet with SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!

*This event is closed to members of the press.

February 5th Webinar

Everything You Want to Know About Alternative Credit Funds

Don’t miss this Webinar on Tuesday, February 5th from 2:00pm–3:00pm EST

Join the National Society of Compliance Professionals (NSCP) and Alaric Compliance Services, LLC for a free webinar discussion on Alternative Credit Funds, the first in a series on Credit Products.
The demand for alternative pooled and/or structured credit products such as private funds, Business Development Companies (BDCs) and Collateralized Loan Obligation (CLO) vehicles, affording exposure to  a growing spectrum of liquid as well as less liquid credit-based investment instruments has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks reducing traditional credit exposure and replacing it, (treating “credit” as an asset class) with exposure to alternative credit strategies and products.
The complexity and varying liquidity and risk profiles of these products presents a number of compliance issues requiring the customization of compliance programs of SEC registered asset managers’ active in this space.
The panelists for this discussion include Guy Talarico, CEO and Founder, Alaric Compliance Services, Carl Rizzo, Director, Alaric Compliance Services and Joseph McDermott, FRM, Compliance Manager, THL Credit.
This webinar, the first in a three-part series, will discuss the following topics pertaining particularly to privately-offered alternative credit investment funds:
  • Credit as an Asset Class
  • Alternative Credit Strategies, Market Participants, Sourcing/Investment Process
  • Private Fund Structuring
  • Key Regulatory and Operational Compliance Issues
  • SEC Examination Readiness
The second and third presentations in the series will address, respectively, topics regarding BDCs and CLOs, dates to be announced.

February 8 Webinar


Cash Solicitation Rule for Investment Advisers – OCIE Risk Alert and Traps for the Unwary

Don’t miss this Webinar on Friday, February 8th from 2:00pm–3:00pm EST

NSCP and Hardin Compliance Consulting will host a lively discussion to include referral arrangements for investment advisers and traps for the unwary.  Join Jennifer Relien, General Counsel & Chief Compliance Officer for Prosperity Capital Advisors and Valor Capital Management, and Jaqueline Hummel, Partner and Managing Director, Hardin Compliance Consulting, for a discussion on the SEC’s recent “Risk Alert on Cash Solicitation Arrangements.” Jennifer and Jacqueline will share practical tips on how to set up, test and monitor on-going referral relationships.

REGISTER >

 

 

 

NSCP Member Bulletin

SEC Commissioner Peirce’s Address at the National Conference offers an optimistic view on the importance of the role of Compliance.

MORE INFORMATION HERE

 

NSCP Currents: Podcast Episode Alert

This month’s feature Podcast will be Elizabeth Cope’s Part 3 conclusion to the “How to Master the Annual Review and Promote a Culture of Compliance” series.

Join us to find out how to wrap it all up!

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

GET IT HERE

NSCP Currents Podcast is now also available on Spotify. If you have an account, just search “NSCP” and subscribe today.

NSCP Quarterly Member Bulletin: A Look Back at Q3

And just like that, school is back in session and the dog days of summer are but a memory. While we hope everyone enjoyed some personal time off, we know that many of you remained dedicated and focused on the tasks at hand. In Q3, NSCP volunteers put in some serious work. Thanks to you all, as we’re setting ourselves up for an exciting and productive Q4!

READ THE NEWSLETTER

NSCP Currents: Podcast Episode Alert

This month’s feature Podcast is Patrick Hayes’ “Current Trends in SEC Exams – What to Expect”.

If you haven’t been examined in a while, listen in to help you identify key risk areas affecting your firm to help ensure your firm puts its best foot forward the next time the SEC comes in to kick the tires.

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

GET IT HERE

NSCP Currents Podcast is now also available on Spotify. If you have an account, just search “NSCP” and subscribe today.