NSCP Industry Forum Insights

The industry’s source for the thoughtful analysis of current events

NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:

  • FINRA Cybersecurity Call
  • SEC Risk Alert on Privacy Issues
  • D.C. Circuit Court’s opinion in the Robare case

Beyond that, our members are discussing these topics:

  • Unbilled/Excluded Assets for managed accounts
  • Branch vs. individual representative inspections
  • Implications of temporary administrative help in branch offices

It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.


The NSCP National Conference is designed to suit your professional and educational needs

Take a look at our Day 2 Agenda

Enhance your compliance skills, receive practical take-aways, gain insights into meaningful solutions, and make many new professional connections at the NSCP National Conference.

Here’s a sneak peak at a few of our sessions on day 2 of the conference:

  • Corporate Governance, Culture and Compliance
  • Enforcement Issues
  • ERISA:  Now and Into the Future
  • Compliance Passport: Perspective Beyond U.S. Borders
  • Best Practices for Adapting to Regulatory Notices
  • Ahead of the Curve Compliance: Blockchain & Digital Assets
  • Integrating and Adapting to Corporate Change
  • Cybersecurity for Small to Mid-size Firms
  • Financial Forensics
  • Trading Compliance Issues
  • Compliance Reimagined: Why Influential Triple Bottom-Line Leaders Will Replace the Status Quo
  • Why Diversity & Inclusion Matter
  • Understanding, Building and Testing Compliance Controls
  • Emotional Intelligence & Interpersonal Skills to Boost Your Clout
  • And much more

Check out the full conference agenda


The NSCP National Conference is the Only Conference “For Compliance, By Compliance”

Take a look at our Day 1 Agenda

The NSCP National Conference allows you to maximize the time you spend away from the office through comprehensive coverage of the topics that impact your daily business, practical take-aways, insights into meaningful solutions, and many opportunities for making new professional connections.

Here’s a sneak peak at a few of our sessions on day 1 of the conference:

  • 5 Components of Extraordinary Teams keynote
  • Regulatory Review & Enforcement panels
  • The 2020 GIPS Standards
  • Anti-corruption, Bribery & Fraud Issues
  • Compliance’s Role in ESG Investing and Corporate Engagement
  • Creating Effective Supervision Structures
  • When Legal & Ethical Considerations Collide
  • Small Firm Decisions: Outsource or Automate?
  • Supporting Women in Compliance
  • Conducting a Mock Exam
  • FinTech & RegTech Innovations
  • And much more

Checkout the full conference agenda


Apply For the NSCP Compliance Scholarship Today

We have established the NSCP Compliance Education Scholarship in memory of those members who have passed. Their dedication and contributions make up the foundation of the NSCP organization and its continued success.

The NSCP Compliance Education Scholarship is designed to benefit those professionals new to the securities compliance industry by offering educational tools to better enhance their knowledge and skill sets within the compliance industry.

NSCP Chicago Spring Conference Video Available to Purchase

The recording from the NSCP Spring Conference held in Chicago on April 30th is available to purchase. Included in this informative event are materials and the video from the following tracks:

  • Track A:  Building Core Competencies – BD/IA Training for New Compliance Professionals
  • Track B:  Today’s Issues and Insights – Coverage for Seasoned Professionals

Member Recording Price:  $300 per track
Non-Member Recording Price: $375 per track

Everything You Want to Know About Business Development Companies


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

Join NSCP and Alaric Compliance Services, LLC for a free webinar discussion on business development companies, the second in our three-part series on Credit Products.

The demand for alternative pooled and/or structured credit products such as Business Development Companies (BDCs), Collateralized Loan Obligation (CLO) vehicles and privately offered alternative credit funds has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks. This accelerating trend is reducing traditional credit exposure and effectively replacing it with exposure to alternative credit strategies and products.

This webinar, the second in a three-part series, will discuss the following topics pertaining to Business Development Companies:

  • The origin and unique status of BDCs under the 1940 Act
  • Differences between the various types of BDCs
  • Key aspects of the hybrid 1940 Act investment company and 1934 Act reporting operating company regulatory treatment of BDCs
  • Everyday compliance issues regarding the investment, operating and marketing activities of BDCs
  • SEC focus areas  

The panelists for this discussion include Guy Talarico, CEO and Founder, Alaric Compliance Services, Carl Rizzo, Director, Alaric Compliance Services and Joseph Hanlon, Chief Compliance Officer, Crescent Capital Group LP.

The third presentation in this series will address topics regarding Collaterized Loan Obligations and is scheduled for June.

The NSCP Mentoring Program is available!

Become a Mentor or Mentee today!

NSCP’s very own Craig Watanabe couldn’t have said it better during our Volunteer Showcase:

“…NSCP is devoted to the development of compliance professionals. The Mentoring Program is a great compliment to the conferences, publications and other NSCP member benefits. However, mentoring holds the potential to be THE MOST beneficial of all NSCP member benefits because the training is tailored to the needs to the mentee…”

It’s here, and it’s available for all of our members to participate in. It’s time to give back and lean in. Don’t underestimate the impact you’ll have!

We’d Like to Hear About Your Experiences With 2019 Examinations and Regulatory Coordinators

In preparation for NSCP’s meeting with FINRA Executive Management in June, FINRA has requested NSCP member feedback, positive or negative, regarding their 2019 examination experience and/or experiences with Regulatory Coordinators.

If you would like to provide feedback, on an anonymous basis, please leave your comments on NSCP’s MemberVoice portal. If you feel comfortable doing so, please include which FINRA District Office conducted your examination.

Register for the 2019 NSCP Spring Conference & Regulatory Interchange April 30 & May 1 in Chicago

Early Bird Discount Available Until March 29th

Save $165 by registering to attend both the NSCP Spring Conference and the Regulatory Interchange (April 30 – May 1) in Chicago.

Spring Conference Rates*:
Members $375  |  Non-members $570
(*higher rates after March 29th)

Regulatory Interchange Rates:
Members $75  |  Non-members $150

$40 Discount will be applied if attending both events

Don’t Miss the NSCP Regulatory Interchange with the SEC & FINRA

April 2, 2019 in New York City:
Members $75.00  |  Non Members $150.00


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.