Roundtables

Roundtables are an opportunity for local compliance professionals to meet periodically to network and further their professional development. The Roundtables offer a unique medium for learning which compliments conferences and online resources and many members say this is the best way to stay current.

NOTE: NSCP neither sponsors local compliance Roundtables nor do we have control over participation restrictions, content or format of the meetings.

Rules of Conduct:

  • Persons attending such Roundtables are to be at an experience level that allows them to actively participate in such meetings. Roundtable meetings are not to be considered training opportunities for new firm employees or vendors that are not actively involved in day-to-day compliance functions.
  • Persons attending the Roundtables are not to use the meetings as marketing opportunities.
  • Nothing discussed at the Roundtables is to be used to obtain competitive advantages over other firms.

Intimate. A small group of your peers, whom you will get to know well through periodic meetings which offer enhanced opportunities for learning.

Interactive. The difference between conference style seating and meeting style seating may seem subtle, but the atmosphere is very different. Meeting style seating is very conducive to interactive participation by the attendees.

Probing. Roundtable meetings allow the members to probe much deeper into subjects than is possible at conference workshops. The Roundtable leader will work with speakers to focus the content and ensure the presentation is interactive. In addition, due to the intimacy of a Roundtable, members can share information and resource materials offering the practical guidance not often provided in a conference setting.

Economical. Some are free and others may charge a nominal fee however Roundtables are still a very economical and enjoyable way to improve your knowledge and skills and network with like compliance professionals.

There is a listing of known Local Compliance Roundtables under “Existing Roundtables”. Click on the Roundtable you are interested in and review the Roundtable’s description as there may be membership restrictions. If you meet the qualifications for the Roundtable, click on the “Contact Roundtable Leader” link and complete the form.

The completed Roundtable registration form will be sent directly to the Roundtable Coordinator who will add you to their mailing list for future events and/or will contact you directly if further information is needed or your contact information does not qualify you to participate on their Roundtable. (See Roundtable description for any restriction information.)

NSCP does not sponsor Roundtables but NSCP does work with a number of Roundtables throughout the country to get the word out to members about upcoming events. The Roundtables are autonomous and most are open to new members. NSCP membership is not required to join the Roundtable but other restrictions may apply. Don’t see a Local Compliance Roundtable in your area and are interested in starting one, please contact us at info@nscp.org.

Roundtables In Your Area

GIPS® Virtual Roundtable

A GIPS® Virtual Roundtable was created several years ago to further the knowledge of its members in the areas of GIPS compliance and advertising compliance best practices, while also providing an open forum for collaboration and networking. Membership is free and the roundtable meets via conference call 3-4 times per year.

Contact Roundtable Leader


Public Pension Compliance Virtual Roundtable

The Council of Public Fund Compliance Officers holds quarterly conference calls / webinars. The group welcomes compliance professionals that work for a federal, state or local government agency or instrumentality that manages public assets, a public pension plan, a sovereign wealth fund, foundation or endowment.

The quarterly conference calls / webinars consist of a speaker presentation, followed by interactive group discussion. Participants are encouraged to bring questions and ideas; and develop solutions as well as network with colleagues.

Contact Roundtable Leader

NSCP Canadian Compliance Roundtable

The Canadian Compliance Roundtable is intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable will provide in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs. Meetings are held both virtually and in-person.

Contact Roundtable Leader

Los Angeles Compliance Roundtable Downtown Los Angeles | Irvine | Woodland Hills

The Los Angeles Compliance Roundtable offers open discussion on challenging and emerging regulatory topics for compliance professionals and executives of Broker-Dealer Firms, Registered Investment Advisers, Private Equity Fund Managers, Investment Banks, and related financial industry sectors. Meetings typically consists of two topics, which are each introduced by a 20-minute presentation, followed by interactive discussion and participation among group attendees. Participants are encouraged to bring questions and ideas; and develop solutions as well as network with colleagues.

Meetings are hosted by staff at RND Resources compliance consulting firm and RSM Alliance members and there is no cost to attend.

To register:

http://www.finracompliance.com/blog/roundtable

discussion-group-for-compliance-professionals/


San Francisco Compliance Roundtable San Francisco, California

The San Francisco Compliance Roundtable holds quarterly meetings and welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader


Southern California Compliance Group El Segundo, CA / La Jolla, CA / Newport Beach, CA / Pasadena, CA

The Southern California Compliance Group (SCCG) holds Roundtable meetings in the following cities: El Segundo, CA / La Jolla, CA / Newport Beach, CA / Pasadena, CA. The Roundtable meets quarterly and welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The quarterly meetings consist of group discussions and speaker presentations. There is an annual membership fee of $100 which covers lunch at the four quarterly meetings and the two social events.

For further information, visit www.sc-cg.org To register for an upcoming event: http://www.sc-cg.org/event-registration/

The Denver Mile High Roundtable Denver, Colorado

The Mile High Roundtable in Denver, Colorado welcomes broker-dealers, investment advisers, hedge funds/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader

New England Compliance Roundtable Hartford, Connecticut

The Hartford Compliance Roundtable holds quarterly meetings. The Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader

South Florida Compliance Roundtable Miami, FL / St. Petersburg, FL / West Palm Beach, FL

The South Florida Compliance Roundtable Group holds meetings three times a year and alternate between West Palm Beach and St. Petersburg locations for the live presentations. The Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and mutual funds/investment companies. The meetings consist of group discussions, speaker presentations and discussions led by a moderator. Those unable to attend the meeting in-person are welcome to dial into a conference call line.

Contact Roundtable Leader

Chicago Compliance Roundtable Chicago, Illinois

The Chicago Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader

Hedge Fund and Mutual Fund CCO Roundtables Boston, Massachusetts

The Hedge Fund and Mutual Fund CCO Roundtables meet twice a year, usually Spring and Fall. The Roundtables are limited to CCOs (or Senior Compliance Officers) at Mutual Funds or Hedge Funds. There is no cost to attend the event. We usually run the events as traditional Roundtables, but sometimes we enhance the agenda to allow industry leaders to provide their insight.

For further information regarding this Roundtable or to become a member, please Contact Roundtable Leader

The Twin Cities Roundtables

  • The Twin Cities Broker-Dealer Roundtable holds quarterly meetings during the months of January, April, July and October.
  • The Twin Cities Retail Investment Adviser Roundtable holds quarterly meetings during March, June, September and December. The attendees are dual IA/BD registrant firms.
  • The Twin Cities Institutional Investment Adviser Roundtable holds quarterly meetings during the months of March, June, September and December.

The Twin Cities Roundtables are not to be used in any way as a marketing opportunity and nothing discussed is to be used to obtain competitive advantages over other firms. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader

The Greater St. Louis Compliance Roundtable St. Louis, Missouri

The Greater Saint Louis BD/IA Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and select outside counsel and other invited speakers/guests. Vendors are generally not invited unless the industry topic is the subject of a presentation. “No Sales Pitch” zone. The meetings consist of group discussions, speaker presentations and small working group presentations. A confidentiality agreement is signed by members and member participation is expected. There is no cost to join the Roundtable and refreshments are paid for by the roundtable member whose firm sponsors the meeting.

Contact Roundtable Leader

New York Roundtable New York, NY

The New York Roundtable welcomes compliance professionals from investment advisers, investment companies, broker-dealers and hedge fund/private funds. It typically meets quarterly and serves as an excellent opportunity for compliance professionals to ask questions, share best practices and gain insight and information on what their peers are doing and how they are handling new rules, dealing with complicated issues, sharing regulatory exam experiences, etc. The Roundtable is limited to CCOs and their staff and is closed to service providers and vendors. Staff from compliance consulting firms are welcome strictly for sharing ideas and best practices. The meetings consist of confidential group discussions and may often feature speaker presentations. The Roundtable also provides an excellent opportunity to network and make new contacts in the industry.

Contact Roundtable Leader


New York Compliance Roundtable New York, NY

The New York Roundtable welcomes broker-dealers, investment advisers and hedge fund/private funds. The Roundtable is limited to CCOs and their staff and is closed to service providers and vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader


Hedge Fund and Mutual Fund CCO Roundtables New York, NY

The Hedge Fund and Mutual Fund CCO Roundtables meet twice a year, usually Spring and Fall. The Roundtables are limited to CCOs (or Senior Compliance Officers) at Mutual Funds or Hedge Funds. There is no cost to attend the event. We usually run the events as traditional Roundtables, but sometimes we enhance the agenda to allow industry leaders to provide their insight.

For further information regarding this Roundtable or to become a member, please Contact Roundtable Leader.

Charlotte Compliance Roundtable Charlotte, North Carolina

The Charlotte Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader

Greater Portland Compliance Association Portland, Oregon

The Greater Portland Compliance Association Roundtable welcomes investment advisers and broker-dealers registered with the SEC or with the State of Oregon.

Membership

  • Contingent on adherence to the Association Code of Ethics;
  • Initiated by application and payment of the initial membership fee;
  • Will commence on the Board’s acceptance;
  • Will expire each December 31; will renew on payment of the annual membership fee.

Membership information and applications can be found at www.gpcaonline.com.

Philadelphia Compliance Roundtable Philadelphia, Pennsylvania

The Philadelphia Compliance Roundtable welcomes investment advisers, broker-dealers, hedge fund/private funds, and consultants. The Roundtable is not open to service providers who are looking to the Roundtable as a marketing opportunity. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leaders


Greater Pittsburgh Compliance Roundtable Pittsburgh, Pennsylvania

The Greater Pittsburgh Compliance Roundtable holds quarterly meetings. The Roundtable welcomes broker-dealers, registered investment advisers, hedge fund/private funds and service providers/consultants. Vendors can attend upon invitation. The meetings consist of group discussions and occasional speaker presentations. All meetings are from 10:00am-12:00pmET at Duquesne University.

For further information regarding the Roundtable, please contact our current President, Sherree Richards at the following link or by calling 412-563-8003.

Contact Roundtable Leaders

Wine & Cheese Compliance Roundtable Nashville, Tennessee

The Nashville, Tennessee Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors, however, prefers Chief Compliance Officers. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leaders

The Austin Compliance Roundtable Austin, Texas

The Austin Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leaders


Dallas – Fort Worth (DFW) Compliance Roundtable Dallas – Fort Worth, Texas

The Dallas Fort Worth (DFW) Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. Recruiters and head hunters are prohibited to attend.

The meetings consist of group discussions and speaker presentations. The meetings alternate between formal presentations on a variety of timely topics and true roundtable discussions of current compliance subjects and events. There is ample time for networking and there is no cost to join.

Contact Roundtable Leader


Houston Compliance Roundtable Houston, Texas

The Houston Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions, speaker presentations and attendee participation is highly encouraged. Those unable to attend the meeting in-person, are welcome to dial into a conference call. Attendees are encouraged to bring brown bag lunches if attending in-person.

Contact Roundtable Leader


San Antonio Compliance Roundtable San Antonio, Texas

The San Antonio Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leader

The Greater Richmond Compliance Roundtable Richmond, Virginia

The Greater Richmond Compliance Roundtable welcomes broker-dealers, investment advisers, hedge fund/private funds and service providers/vendors. The meetings consist of group discussions and speaker presentations.

Contact Roundtable Leaders

Seattle Compliance Roundtable Seattle, Washington

The Seattle CCO Outreach welcomes broker-dealers, investment advisers and hedge fund / private funds. This Roundtable does not permit consultants or vendors. The meetings consist of group discussions and speaker presentations. Those unable to attend the meeting in-person are welcome to dial into a conference call line. The group is very low key and kept non-formal at the request of members.

Contact Roundtable Leaders

ROUNDTABLE MEMBER DISCLAIMER

Roundtables are a great way to further your professional development and get to know your fellow compliance peers. Your satisfaction with the Roundtable is extremely important to us. However, please note that NSCP neither sponsors the Roundtables nor do we have control over the content and format of the meetings. Membership in NSCP is not a requirement to participate in the Roundtables. Consequently, if for any reason your Roundtable experience does not meet your expectations, it is important that you contact NSCP. We can redirect you to another Roundtable that might better suit your needs, or we might be able to help you form your own Roundtable. Please contact NSCP at info@nscp.org.