Webinars

Upcoming NSCP Webinars

Everything You Want to Know About Business Development Companies

Don’t miss this Webinar on Wednesday, May 8th from 2:00pm–3:00pm EST

Join NSCP and Alaric Compliance Services, LLC for a free webinar discussion on business development companies, the second in our three-part series on Credit Products.

The demand for alternative pooled and/or structured credit products such as Business Development Companies (BDCs), Collateralized Loan Obligation (CLO) vehicles and privately offered alternative credit funds has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks. This accelerating trend is reducing traditional credit exposure and effectively replacing it with exposure to alternative credit strategies and products.

This webinar, the second in a three-part series, will discuss the following topics pertaining to Business Development Companies:

  • The origin and unique status of BDCs under the 1940 Act
  • Differences between the various types of BDCs
  • Key aspects of the hybrid 1940 Act investment company and 1934 Act reporting operating company regulatory treatment of BDCs
  • Everyday compliance issues regarding the investment, operating and marketing activities of BDCs
  • SEC focus areas

The panelists for this discussion include Guy Talarico, CEO and Founder, Alaric Compliance Services, Carl Rizzo, Director, Alaric Compliance Services and Joseph Hanlon, Chief Compliance Officer, Crescent Capital Group LP.

The third presentation in this series will address topics regarding Collaterized Loan Obligations and is scheduled for June.


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

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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

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