NSCP Member Bulletin

SEC Releases 2018 Examination Priorities. Details available below.

Have thoughts on this year’s focus areas, or wish to confidentially share a recent examination experience?

We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.

SHARE YOUR STORY

SEC EXAM PRIORITIES

NSCP Events: Form ADV Seminar with Kirkland & Ellis

On February 6, 2018, in partnership with Kirkland & Ellis, NSCP sponsored a Form ADV Seminar for the Private Fund community in New York, which offered insights into the new Form ADV Requirements, common disclosure pitfalls, and practical application of best practices to avoid known mistakes.

Due to great response, evaluation of hosting a second event on the west coast later this month is under way.

NSCP Currents: Best of 2017

NSCP is pleased to release its annual edition of the Best of 2017 NSCP Currents; which showcases a collection of prior articles from the prior year.

GET YOUR COPY

NSCP Member Bulletin

FINRA aims to help small firms: The Financial Industry Regulatory Authority has debuted a toll-free help line to provide guidance to small financial firms on compliance matters. FINRA CEO Robert Cook said the Small Firm Helpline will “make it faster and easier for small firms to get answers.”

MORE INFORMATION

NSCP Member Bulletin

FINRA Releases 2018 Examination Priorities. Complete release and details below.

Have thoughts on this year’s focus areas, or wish to confidentially share a recent examination experience?

We’ve launched the NSCP MemberVoice, an anonymous and safe avenue for our Members to share their thoughts, stories, and experiences with regulators, and issues in complying with financial services regulatory requirements.

FINRA EXAM PRIORITIES

SHARE YOUR STORY

NSCP Currents: Podcast Episode Alert

Don’t miss our latest episode, “Branding Isn’t Just Marketing, Superpower Your Compliance Function” by Aimee R. Blinder, Vice President, Compliance at National Planning Holdings, Inc.

GET IT HERE