Upcoming NSCP Webinars

Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS

Don’t miss this Webinar on Thursday, November 21st from 1:00pm–2:00pm EST

As 2020 quickly approaches, firms need to fully prepare for what is to come in Q1. By Q4, compliance personnel should begin evaluating the status of ongoing compliance projects and considering any regulatory changes that took place over the course of the year. But the question is, have you started?

Presented by James Smith, Sr. Compliance Consultant, Core Compliance & Legal Services (“Core Compliance”); Robert R. Boeche, Esq., Senior Associate, Jacko Law Group, PC; and Dana Schmidt, Senior VP and Chief Compliance Officer, Jordan Park, this webinar is intended to prepare attendees for year-end and provide guidance on how best to tackle and complete your firm’s Form ADV and the new Form CRS filing.

Learning Objectives:

  • Learn how to formulate a comprehensive year-end compliance checklist
  • Receive guidance on the process of drafting and filing the Form ADV
  • Hear an overview of NEW form CRS and the five items included
  • Obtain resources on gathering and retaining required data quickly and efficiently
  • Benefit from tips on being prepared for regulatory compliance in 2020 and how to get started

Impact of Current State Regulatory Initiatives on Your Practice: “Speaking from the Other Side”

Don’t miss this Webinar on Tuesday, December 3rd from 2:00pm–3:00pm EST

Four former state securities regulators, who met while working together through NASAA, will discuss current state law initiatives. Join us to learn what you need to know for your practice or in-house compliance responsibilities.

Topics will include:

  • The standards of care debate: Regulation BI, State and NASAA perspectives, State AG litigation, and what’s next
  • State privacy and data protection laws
  • Senior and vulnerable investors and Senior Safe Laws: the interaction between federal and state frameworks
  • Early indications of a nascent NASAA regulatory initiative on continuing education for investment adviser representatives
A. Valerie Mirko, Partner, Baker Mackenzie, Financial Regulation and Enforcement Practice Group (Former General Counsel, NASAA)

John Cronin, Vice President, Head of State Government Relations, LPL Financial (Former Division Director of the State of Vermont)
Carolyn Mendelson, Senior Compliance Consultant, Hardin Compliance Consulting, LLC (Former Assistant Counsel, Pennsylvania Department of Banking and Securities)
Keith M. Woodwell, Of Counsel, Clyde Snow & Sessions (Former Director of the Utah Securities Division)

Webinar participants will also receive a list of recent key state enforcement cases, new guidance and advisory positions, and additional relevant issues to consider in their compliance agendas.

The SEC’s Standard of Conduct Rules – Important Considerations and Best Practices

Don’t miss this Webinar on Wednesday, December 11th from 1:00pm–2:00pm EST

Join Bloomberg law analysts Peter Rasmussen, Preston Brewer, Patty Tehrani, and former NY DFS superintendent, Maria T. Vullo, for a webinar on the SEC’s standards of advice package (including Reg BI, Form CRS, and related efforts). The panelists will also discuss best interest efforts focusing on New York’s Insurance Regulation 187 and the impact of New York’s regulation on the sale of annuities and life insurance products in the broader marketplace.

The panel will examine:

  • Overview of the rule
  • Special considerations related to Reg BI and Form CRS
  • Changes to policies and procedures and other compliance considerations
  • Best practices for compliance

The webcast will also highlight state insurance department efforts with a focus on NY’s Insurance Regulation 187, finalized in July 2018, which expands suitability requirements and establishes a uniform standard of care for agents and brokers that requires them to act in the best interest of consumers when making a recommendation with respect to a proposed or existing annuity or life insurance policy, and sets forth supervision requirements for insurers. The annuities requirements took effect August 1, 2019, and the life insurance standard takes effect February 1 of next year.

Will you be our next co-host?

If you’re interested in learning more about co-hosting an upcoming webinar with NSCP, we invite you to review the NSCP Webinar Guidelines and submit your proposal for consideration.

View Past NSCP Webinars

You must be logged into the Member Center to access the archived webinars. Please login and then click the Resource Library tab in the Member Center to find the Webinar Archive Folder.


2019 Webinars

  • Everything You Want to Know About Alternate Credit Funds
  • Cash Solicitation Rule for Investment Advisers
  • Case Studies on How to Address Transparency and Disclosure Issues
  • FINRA’s 2018 Disciplinary Actions
  • Everything You Want to Know About Business Development Companies
  • Reg BI: What Does it Mean for Compliance?
  • Cybersecurity Risks You May Not be Considering
  • Implementing a Stronger Due Diligence Program
  • How to Create a Strong Culture of Compliance
  • Enhancing Your Annual Review Process

2018 Webinars

  • SEC’s Share Class Disclosure Initiative Webinar
  • Form ADV Workshop with K&E
  • How to Manage Compliance Turnover and Remain Audit Ready
  • Emerging Technologies – Existing Regulation
  • The SEC’s Proposed Standard of Conduct Rules for Broker-Dealers and Investment Advisers

2017 Webinars

  • SEC Rule 17-h Risk Assessment and Recordkeeping Requirement
  • CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
  • Leave It to the States: Compliance and Registration Priorities for BDs/IAs
  • Ethical Decision Making – Recognizing Issues
  • MiFID II – US Asset Managers Brace for Impact
  • Discussion of Results: NSCP / ACA Aponix Cyber Survey
  • The New Normal: Business Continuity, Disaster Recovery & Cybersecurity
  • Why the Financial Services Industry Can’t Ignore Text Messaging

2016 Webinars

  • Trade Compliance Through the Lifecycle of a Trade
  • Last Chance: Impact of ERISA Fiduciary
  • Regulation
  • MCDC Disclosure Obligations
  • Simplifying Regulatory Change Management by Leveraging Integrated Content and Technology
  • FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds
  • Final Look at DOL Fiduciary Proposal – A Game Changer
  • Blind Spots in Operational Risk Webinar
  • Who Is the New Twenty-first-Century CCO? Current Issues in CCO Liability
  • Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision Liability
  • Creating and Executing Effective, Customized Branch Examinations
  • The DOL Rule: What You Need to Know Now
  • Cybersecurity – Vendor Due Diligence