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.

Listen to the latest NSCP Currents Podcast

This month’s feature Podcast is Brad Anderson & Craig Watanabe’s “Business Email Compromise (“BEC”).”

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

SUBSCRIBE & LISTEN TODAY:

Apple iTunes    |    Google Play    |    Stitcher

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

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’s 529 Share Class initiative
  • FINRA’s 2019 Annual Risk Monitoring and Examinations Priorities letter SEC brings charges in Edgar Hacking case
Beyond that, our members are discussing these topics:
  • Email Review – Access to Executive Management Emails
  • Social Media Archiving
  • Accepting Trades Via Email
It’s amazing what we can accomplish when we crowdsource the collective expertise from peers. Join the conversation. Join us.

Women in Compliance – Tuesday, March 19 in New York City

Join us as we honor International Women’s Day with a candid discussion on the issues facing women and their firms in the compliance industry, including gender gaps in earnings and advancement, work achievement, and opportunities. Hear from a panel of women with diverse backgrounds in compliance on how they have overcome roadblocks in their careers. Our compliance panelists will be joined by an executive coach that works with women to accelerate their career success. Gain insight and practical advice to help you to succeed in yours.