Webinars

Upcoming NSCP Webinars

The State of State Securities Law During COVID-19 and Fiduciary Duty Implementation

Join us on August 20th at 2:00pm ET

COVID-19 has brought unprecedented challenges to servicing clients and industry firms. Moderated by A. Valerie Mirko, a former NASAA General Counsel, the webinar will explore what state securities regulators have been doing during COVID-19 and include thoughts from a panel of former state securities regulators about COVID’s immediate and longer-term impacts on firms’ relationships with state regulators. A panel of former state regulators from Utah, Vermont, and Pennsylvania will discuss what we can anticipate from state regulators for implementing Reg BI and Form CRS at the state level, and what effects COVID is having on the examination process, agent and investment adviser representative registration, rule-making, and fiduciary duty. The panelists will provide their thoughts about New York’s rule proposal for IAR registration; NASAA’s request for public comment for a proposed IAR continuing education program; and their guidance on preparing for implementing Massachusetts’ fiduciary duty rule for September 2020.

Moderator:
A. Valerie Mirko, Partner, Baker McKenzie, Financial Regulation and Enforcement Practice Group (Former General Counsel, NASAA)

Panelists:

  • 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, Shareholder, Clyde Snow & Sessions (Former Director of the Utah Securities Division)

Best Practices for Private Funds Compliance Programs as a Result of COVID-19 and Market Volatility

Join us on September 3rd at 2:00pm ET

According to the SEC, these are the heightened risk areas for Private Funds as a result of COVID-19 and market volatility:

  • Business continuity plans
  • Valuation of client assets
  • Liquidity risk management
  • Transactions with affiliates
  • Side-by-side management
  • Use of material non-public information
  • SEC PF risk alert

Join Tito Pombra, President of Adviser Compliance Consulting, Inc.; Drew Weilbacher, Director, Co-Head of Private Funds, Promontory Financial Group; and Amelia Stoj, Chief Compliance Officer and Assistant General Counsel, Foresite Capital as they discuss these risk areas and offer best practices for private funds compliance programs.

Interested in Co-Hosting a Webinar?

Please note that NSCP is closed to new webinars until November 2020. 

View Past NSCP Webinars

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2020 Webinars

  • Informational Board of Directors Call
  • Untangling Custody Responsibilities
  • IA/IC – Records Management
  • Ensuring BCP During the Coronavirus Crisis
  • Data Governance and Ethics Best Practices
  • Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
  • How to Navigate Regulatory Change Post-Pandemic

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