Registration Now Open for NSCP’s 2021 Events

NSCP’s 12 Virtual Half Day Educational Seminars

JANUARY 28th SEMINARS

1. Starting with the End Results in Mind: Tips for Remote Supervision and
Remote Audits
2. Cybersecurity: Am I a Compliance Officer or an Information Security Officer?


FEBRUARY 18th SEMINARS

3. Incorporating SEC & FINRA Exam Priorities into Your Compliance Program
4. Make it Matter: Effective Risk Management


MARCH 18th SEMINARS

5. Conflicts of Interest: A Closer Look
6. Hot Topics in Compliance: Best Practices for Managing Through Uncertainty


APRIL 27th SEMINARS

7. Essential Skills for Compliance Program Management
8. Communication & Professional Interaction for Compliance Professionals


MAY 25th SEMINARS

9. Maximize Your Vendor Management Program
10. From Theory to Practice: Managing a Robust Code of Ethics Program


JUNE 22nd SEMINARS

11. If you Build It, They Will Come: Leveraging Compliance Technology
& Automation
12. Sharing Solutions: Implementing the New SEC Advertising Rule

Virtual Regulatory Interchange Webinars Featuring FINRA, SEC, DOL and NASAA