Webinars

Upcoming NSCP Webinars

Join Us for a Demonstration of the NSCP Member Center

Thursday, January 17 at 3:00 pm EST

Whether you are a new NSCP member or have been a member for years, please join us on Thursday, January 17th at 3:00pm ET for a detailed demonstration of the NSCP Member Center, and a discussion about the many benefits NSCP membership offers. We will also look at how you, as a member, can get more involved in NSCP. In this 30-40 minute webinar, we’ll look at:

  • The NSCP Member Center
    • How to use the NSCP Compliance Forum and post anonymously
    • What information is available, and how to use the Resource Library
    • Signing up for the NSCP Forum calls including the Investment Adviser, Broker-Dealer, Private Fund, and Municipal Adviser
    • How to view past NSCP Webinars, and signup for upcoming webinars
    • How to post a job or your resume to NSCP JobLine
    • How to view issues of NSCP Currents
    • How to view and signup for upcoming NSCP Conferences
  • Learn more about getting involved with NSCP
    • Submit a speaker profile
    • Propose an NSCP Webinar
    • Submit an article for NSCP Currents
    • Provide NSCP feedback
    • Anonymously submit details or questions to NSCP about your regulatory exams for us to discuss during our future regulatory meetings

We look forward to having you join us!

Case Studies on How to Address Transparency and Disclosure Issues

Tuesday, February 12th from 2:00 – 3:00 pm EST

On February 12th, NSCP invites you to join us for a webinar as panelists from Warburton Advisors, Texas Teachers’ Retirement System, Align Impact, Flat World Partners, and BuildUp discuss disclosure from stakeholders’ perspectives and regulatory developments, including the ESG disclosure rule making petition to the SEC. This presentation will explore questions including:

  • What is a case study, and how is one built into training, testing, and risk assessments?
  • Why is disclosure important to compliance programs?
  • How can compliance review materials to help ensure accuracy and basic due diligence?

And much more!

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.

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
  • 5 Things Every Compliance Officer Should Know About Trade-Based Money Laundering Risks
  • CyberSecurity Risk Management Process – Evaluating Risks and Strengthening Governance