NSCP Industry Forum November 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 Regulatory Notice 19-35: BD and IA renewals for 2020
  • Cybersecurity alert: Cloud-based email account takeovers
  • SEC issues FAQs regarding disclosure of certain financial conflicts related to Investment Adviser compensation

Beyond that, our members are discussing these topics:

  • Liquidating mutual fund “A” shares and charging a commission
  • Considerations for potential Canadian clients
  • Finger printing for employees of an affiliated RIA

NSCP has also launched two new forums in the Member Center: the Small Firm Forum and the Emerging Leaders Compliance Group.

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