Upcoming NSCP Webinars

Data Governance and Ethics Best Practices
Join us on June 10 at 2:00pm ET

Join us for a webinar covering the foundation of traditional and evolving privacy & data governance laws, recent enforcement cases, as well as governance trends that move beyond disclosures and notices into data mapping, building a program with data stewards and impact assessments so compliance officers are prepared to address data governance issues as many adjust to a changing work environment as a result of COVID-19.

Forward Thinking: New Focus Areas and How Compliance Programs Need to Change for 2020
Join us on June 16 at 2:00pm ET

Sheltering-in policies have required firms to work remotely and adjust the way they communicate with their clients – and each other. Join James Smith, Senior Compliance Consultant, Core Compliance & Legal Services, and Robert Ross, Senior Vice President and Chief Compliance and Risk Officer, Boston Private, in this webinar exploring integral areas that all broker-dealers and registered investment advisers should consider, particularly in response to COVID-19 and what their compliance programs need to include as we all look ahead toward the future.

In this webinar, we will provide and cover:

  • An overview of regulatory expectations for disaster preparedness
  • Business continuity – have you done enough and documented how you responded to the pandemic?
  • Cybersecurity, internal controls and supervisory considerations for working remotely
  • Client and vendor communications – regulatory guidance on what you should include
  • A checklist of how to mitigate business and compliance risks going forward

How to Navigate Regulatory Change During a Pandemic
Join us on June 18 at 2:00pm ET

As the pandemic drags the economy into recession, multiple federal agencies – including the Federal Reserve, the Federal Deposit Insurance Corporation, and the Consumer Financial Protection Bureau – have pledged to help businesses survive the downturn. The regulators are also urging banks to do their part during this global crisis. Regulators recommend that financial institutions work constructively with borrowers and other customers in affected communities.

In this webinar, we will explore how banks can proactively navigate and advise around regulatory changes as we slowly come out of the “stay at home” period and how we can minimize the negative effects it will have on the industry as we move forward in 2020

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.

Please note that we are closed to new webinars until June 15, 2020. 

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