Our Structure

Board Of Directors

NSCP is managed by a Board of Directors comprised of 23 current and oncoming Board Members who work to ensure that the needs of our diverse membership base are met.

Committees

As a part of our member benefits, NSCP has established Community Forums, Committees and Working Groups:

  • Broker-Dealer Forum | Co-Chairs: Glen Barrentine and Brian Rubin
    Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to broker-dealers.

  • Conference Committee | Co-Chairs: Barbara Boehler and Elton Chan
    Identifies and develops appropriate topics for NSCP conferences focused on the practical aspects of current compliance challenges.

  • Diversity, Equity and Inclusion Committee | Co-Chairs: Hope Brown and Hope Newsome
    Promotes diversity and inclusion in the compliance profession.

  • Investment Advisor Forum | Chair: Rick Marshall
    Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to investment advisers.

  • Membership Development Committee | Chair: Louis Dempsey
    Advises the NSCP staff and provides assistance as appropriate on membership growth opportunities, offerings, benefits and membership engagement and satisfaction.

  • Marketing Rule Working Group | Chair: Issa Hanna

    The Marketing Rule Working Group was created to serve as a live forum for the discussion of members’ questions about implementation of the new marketing rule as they work toward the November 4, 2022 compliance effective date.

  • Municipal Advisor Forum | Chair: Dave Sanchez
    Facilitates a forum for the periodic discussion and exchange of ideas among NSCP members regarding regulatory issues relevant to municipal advisors.

  • Private Fund Forum | Co-Chairs: Robert Kaplan, Bruce Karpati, and Robert Saperstein
    Facilitates a forum for the periodic discussion and exchange of ideas among NSCP members regarding regulatory issues relevant to private funds, hedge funds, and private equity firms.

  • Publications Committee | Co-Chairs: Amber Allen and Cari Hopfensperger
    Works with NSCP’s Executive Director and NSCP Staff to produce the monthly publication Currents; solicits articles and authors for NSCP publications; and provides input for appropriate topics to cover in NSCP publications from conferences, regulatory committees, member suggestions and timely topics in the financial services industry.