Upcoming NSCP Webinars

Implementing a Stronger Due Diligence Program

Tuesday, July 23rd* from 2:00pm–3:00pm EST

*Please note that this webinar was originally scheduled for July 18th, but has been rescheduled.

Have you ever wondered if you are asking the right questions on behalf of your clients? Or if this third-party partner is the best option for your firm and your business goals? Do you fully understand their role and responsibilities in the entire process?

We have found that many firms struggle with gauging their level of due diligence and the role compliance plays in the vetting process. This webinar, “Implementing a Stronger Due Diligence Program” aims to provide the next best steps when performing your firm’s due diligence. Our panelists, Tito Pombra (President, Core Compliance) and Melissa Loner (Chief Compliance Officer, Independent Financial Partners) will also take a deeper dive into each of the stages of a comprehensive, effective, and efficient due diligence program.

The panelists will also discuss:

  • An in-depth look at the oversight process of third-party partners
  • Key considerations for implementing diligence processes
  • Important Compliance Steps to ensure due diligence process is comprehensive and addresses the firm’s business goals and client needs

How to Create a Strong Culture of Compliance

Thursday, July 25th from 2:00pm–3:00pm EST

Over the years, Senior SEC staff has encouraged firms to incorporate a strong compliance culture within their organizations and how it will go a long way during a firm’s examination. An Office of Compliance Inspections and Examinations (OCIE) Former Director Carlo V. di Florio once said “Strong risk management controls, including a solid compliance program, are a key responsibility of everyone in a regulated entity, but the right culture and tone at the top are especially the responsibility of senior management and the board.”

But how do you build a strong culture of compliance? And how do you go about creating/getting internal management buy-in for a strong compliance culture? Tito Pombra (President, Core Compliance & Legal Services) and Pamela Pendrell (Chief Compliance Officer, GlobeFlex Capital) will answer these questions and more in “How to Create a Strong Culture of Compliance,” where attendees will have the opportunity to learn:

  • What key components are essential to creating a “strong culture of compliance”;
  • How to develop and communicate compliance from top down, or as the SEC says, “tone from the top”;
  • How to make compliance a part of the business and an “owned” subject by managers and staff;
  • Considerations for establishing and maintaining compliance as part of corporate culture
  • The important role of how continuous training fosters your firm’s culture of compliance; and more!

Enhancing Your Annual Review Process

Tuesday, July 30th from 2:00pm–3:00pm EST

The Annual Review process can be tricky, especially when firms test and ensure their Policies and Procedures are comprehensive and detailed. While this mandatory process is daunting, it is essential for firms to confirm they have adjusted integral areas of their compliance program to their evolving business models. This annual evaluation process allows firms to examine what they are doing, how they’re doing it, the efficacy of their procedures, allowing firms the opportunity to report and adjust for any risks or gaps within their compliance program.

But how do you know if your testing within your annual review is right and accurate? And are you really testing “everything”? Is there a “risk stone” unturned that you may not have noticed? Tina Mitchell (Lead Sr. Compliance Consultant, Core Compliance) and Matt Lovett (Chief Compliance Officer, Brookstone Capital Management) will provide their key industry insights to assist firms in enhancing their Annual Review process.

Our panelists understand that navigating this process can be difficult and running the same tests from last year during your annual review isn’t enough. By attending the “Enhancing Your Annual Review Process” webinar, attendees will learn:

  • How to assess and enhance your past annual review process
  • Key considerations for your firm’s evaluation process
  • Best practices to tackle the testing and surveillance process
  • Tips of planning your firm’s next annual review

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

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