Upcoming NSCP Webinars

National Conference Webinars

Missed these sessions at the 2019 National Conference?

Join us for webinars based on National Conference sessions!

Please note that there is no registration fee for active NSCP Members. Non-members will incur a fee of $50 per webinar. Additionally, materials and recordings of webinars based on National Conference sessions will only be provided to NSCP members.

IA/IC/PF Forum – Trading Compliance Issues
February 27, 2020
Trading arrangements and practices for investment advisers, private funds and investment companies may present potential conflicts of interest for advisers. This webinar will focus on the complex compliance issues and mitigating controls related to trading by advisers.

Learning Objectives

• General brokerage arrangements and trading controls for recordkeeping, testing and reviews, gifts and entertainment on the trade desk.
• Best execution issues and reasonable procedures related to client directed brokerage, FX and fixed income.
• Managing and mitigating conflicts of interest for allocations/aggregation, principal and cross trades, soft dollars, affiliated transactions and trade error resolution.
• Trading specific disclosures and best practices and conducting compliance reviews.

J. Christopher Jackson, Sr. VP & General Counsel, Calamos Investments LLC.
Robert Tull, Managing Director, Progressive Compliance Advisors.

BD – Creating Effective Supervision Structures
March 26, 2020
This webinar will address the roles of compliance and supervision, and the potential pitfalls of having compliance perform supervisory functions. Centralized versus decentralized supervisory structures will be compared and contrasted. The discussion will then focus on factors specific to the business model and personnel that may favor a centralized or decentralized structure. Finally, supervisory controls and monitoring will be covered.

Learning Objectives:

• Explore the roles and responsibilities of compliance oversight and performing supervisory functions
• Compare and contrast centralized versus decentralized supervisory structures and what factors favor one over the other
• Integrating and effectively utilizing technological solutions in the supervisory structure
• Designing and implementing effective supervisory controls tailored to the business model and considerations for monitoring of the supervisory system
• Vetting and oversight of third-party records retention providers

Daniel Korb, Principal, Bressler Amery & Ross.
Kurt Lofgren, Senior Vice President, LPL Financial.

Please note that there is no registration fee for active NSCP Members. Non-members will incur a fee of $50 per webinar. Additionally, materials and recordings of webinars based on National Conference sessions will only be provided to NSCP members.

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.


2020 Webinars

  • Informational Board of Directors Call
  • Untangling Custody Responsibilities
  • IA/IC – Records Management

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
  • Be Prepared for 2020: Addressing the Demands of Year-End Compliance, Form ADV and NEW Form CRS
  • Impact of Current State Regulatory Initiatives on Your Practice: “Speaking from the Other Side”
  • The SEC’s Standard of Conduct Rules – Important Considerations and Best Practices

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