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Last chance to take advantage of Cyber Week membership discount

Receive a 15% Discount

When you become a new NSCP Member -

offer ends today

We've Enlisted the Best Speakers

Register now to hear these compliance experts share valuable information and practical tools

Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices

Join us on September 17th at 2:00pm ET

Senior investors represent a high percentage of most firms' assets under management. This group of investors has special considerations - from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What steps are your firms taking to protect this investor group, and is it enough?
 
Speaking on this subject area, in partnership with NSCP, are two industry veterans:

• Michelle L. Jacko (CEO of Core Compliance & Legal Services and Managing Partner, Jacko Law Group, PC and two-time NSCP Board Member)
• Robert Hille (CCO/General Counsel of Laird Norton Wealth Management) will specifically address some of the industry's most pressing questions regarding senior and vulnerable investor protections.
   
  Attendees of the webinar will learn:

1. SEC expectations for protecting seniors
2. New senior investor scams seen during the COVID-19 period
3. How to build a compliance program to protect best practices and regulatory considerations/responses, specifically for senior investors
4. Why the Senior Safe Act should be considered for implementation
5. Best practices for identifying and responding to senior exploitation

Last Chance to Participate

Register Now
NSCP Midwest Regulatory Interchange - Virtual
July 24th (9:00 AM - 12:15 PM Mountain Time)

Last Call to Register!

The NSCP National Conference

will be starting soon. Don't be left out!

The 2020 NSCP National Conference features dynamic keynote speakers, educational agendas and the opportunity to connect with peers and empower yourself and your compliance program. 
 
Don't miss out on the many benefits that come with being part of the only conference that''s "For Compliance, By Compliance."

NSCP Member Call Series:
Navigating the Regulatory Environment in Response to COVID-19

Join us on Monday, August 3rd
5:30 pm ET / 2:30 pm PST

In our continued effort to help members navigate the regulatory environment in light of COVID-19, NSCP is holding monthly member calls. Our next call is  Monday, August 3rd at 5:30 pm EST/2:30 pm PST. Monday's guest speaker will be Craig Moreshead, Managing Director, Foreside Financial. Mr. Moreshead will be discussing vendor due diligence, including sub-advisers, in the age of COVID-19.  He will also discuss questions to consider before outsourcing your firm's CCO position.

If there are specific questions or issues you wish to have guidance on, please post on NSCP's MemberVoice portal.

We encourage you to post your questions and assist other members in answering their questions regarding COVID-19 regulatory concerns on NSCP's Compliance Forum or Industry Forums.

Members no longer need to register for these events. Login and access the event details here:

Not a Member? Become one today: https://nscp.org/membership

This call series is intended for NSCP Members only. These calls may not be shared with or accessed by non-members including Press and Regulators.

Got Regulatory Questions?

SEC, FINRA and DOL regulators look forward
to addressing your regulatory questions about the issues
that matter most to you at the 
NSCP Regulatory Interchange.

Don't wait - register now!
This event is only eligible for CSCP credits.

Load up on
Continuing Education Credits
Without Traveling to a
Conference!

Register now for the virtual

NSCP National Conference

NSCP National Conference attendees may receive Continuing Education ("CE") credits for up to twelve 75-minute sessions, including four sessions that are eligible for ethics credits.  Certificates for professional designations include CLE, CPE, CSCP, and more.

CE credit will only be awarded for the viewing of live (not recorded) sessions.

View our Continuing Education page for more info >

Listen & Subscribe to
The Securities Compliance Podcast

A personal master class for the securities legal and compliance professional

NSCP presents The Securities Compliance Podcast, hosted by Patrick Hayes, investment management counsel at Calfee, Halter & Griswold. A personal master class for the securities legal and compliance professional, Patrick's passion is to help you put Compliance In ContextT by combining the technical expertise of industry thought leaders and innovators with the practical experience of doers and key decision-makers.

Listen today to help elevate your firm's compliance program and take your career to new heights.

Forward Thinking: Senior Investor Protections, Regulatory Considerations and Best Practices

Join us on November 12 at 2:00pm ET

Senior investors represent a high percentage of most firms' assets under management. This group of investors has special considerations - from saving for retirement, the onset of potential health issues (such as dementia) and potential abuse from others (in the form of financial exploitation from relatives, cybercriminals and fraudsters). What steps are your firms taking to protect this investor group, and is it enough?
 
Speaking on this subject area, in partnership with NSCP, are two industry veterans:

• Michelle L. Jacko (CEO of Core Compliance & Legal Services and Managing Partner, Jacko Law Group, PC and two-time NSCP Board Member)
• Robert Hille (CCO/General Counsel of Laird Norton Wealth Management) will specifically address some of the industry's most pressing questions regarding senior and vulnerable investor protections.
   
  Attendees of the webinar will learn:

1. SEC expectations for protecting seniors
2. New senior investor scams seen during the COVID-19 period
3. How to build a compliance program to protect best practices and regulatory considerations/responses, specifically for senior investors
4. Why the Senior Safe Act should be considered for implementation
5. Best practices for identifying and responding to senior exploitation

Cyber Week Membership Offer - This Week Only!

Receive a 15% Discount

When You Become a New NSCP Member -

November 30th - December 4th Only

Got Regulatory Questions?

SEC, FINRA and DOL regulators look forward
to addressing your regulatory questions about the issues
that matter most to you at the 
NSCP Regulatory Interchange.

Don't wait - register now!
This event is only eligible for CSCP credits.

In Case You Missed
Commissioner Peirce's Keynote
at Our National Conference,
You Can Read It Now

Women of Color in Compliance

Join us on Monday, December 7, 2020  at 2:00 pm ET

"If they don''t give you a seat at the table, bring a folding chair."
? Shirley Chisholm

Women of color are facing unique and difficult barriers in the workplace, and opportunities may seem less tangible.

Join us for a candid discussion from a distinguished panel of women about how to navigate a career in compliance (and more broadly the financial services industry) as a woman of color. Panelists Mitzie Pierre, Chief Compliance Officer, IFM Investors, Dorinda Walker, Founder & CEO of Cultural Solutions Group and head of LEAD360 [HER] and moderator Hope Newsome, Managing Partner, Virtus LLP will discuss their career path and their experiences, challenges faced, ways to overcome the challenges and techniques to assist you with not only navigating, but advancing a career in the compliance profession.

Last Chance to Save Money
on Registration

Summer savings end August 31st - Don't pay more
than you have to!

This message is brought to you by your Industry Award-Winning Compliance Firm

Subscribe today to Foreside's Knowledge Center! We are committed to providing solutions and knowledge that will allow you to focus on your core business without sacrificing compliance best practices.

Got Regulatory Questions?

SEC, FINRA and DOL regulators look forward
to addressing your regulatory questions about the issues
that matter most to you at the 
NSCP Regulatory Interchange.

Don't wait - register now!
This event is only eligible for CSCP credits.

The State of Cybersecurity:
Results from the 2020 NSCP / ACA Aponix Cybersecurity Compliance Programs Survey

Friday, August 14, 2020  |  2:00 PM ET / 11:00 AM PT

Cybercrime continues to rise, and financial services firms continue to be a target. For the third year, ACA Aponix partnered with the National Society of Compliance Professionals (NSCP) to survey financial services firms to gauge their attitudes toward cybersecurity the steps they are taking to protect their business.

Join us Friday August 14, 2020 at 2:00 PM ET / 11:00 AM PT when we discuss the results of this survey, how these results compare with the results of ACA and NSCP''s previous surveys, and suggest steps for further action.

Discussion Topics

This webcast will cover:

• The cybercrime landscape in the financial industry
• Respondents views of cybersecurity 
• What financial services firms are doing about cybersecurity

All webcasts are recorded and sent to registrants following the live event. 

Complimentary Webinar: 
Men as Allies

Tuesday, September 15, 2020 . 4:30 - 6:00 p.m. EDT

Join us for a candid discussion about how to be an effective ally to your diverse colleagues. Hear from the men on our panel who will share their personal stories of successfully championing women and people of color in their organizations. Our seasoned panel also includes a diversity expert and executive coach who will give tips on how to set the tone for inclusion to foster professional growth so colleagues can rise up together. 
We will walk through a variety of real world scenarios where men can simply disrupt traditional patterns and assumptions to make a big impact, including:

• Effecting change through corporate governance 
• Interruptions during meetings
• Giving credit for an idea or work where it's due
• Proactively sponsoring others for development opportunities, raises and promotions
• Speaking up to stop disparaging remarks when others are not present
• Fostering open communication and protocols to avoid career-killing assumptions about family matters

Attendees will also receive reference materials for additional information.

SPONSORS:

GIPS Reports - Decisions, Insights and 2020 Interpretations

Join us on November 17th at 2:00pm ET

Tailored for CCOs, Janice Kitzman and Kim Cash, Cascade Compliance, and two industry compliance professionals, Grace Man, Franklin Templeton, and Irina Gorokhov, Metis Global, will highlight need-to-know reporting guidance published by the CFA Institute in the past few months.  With December 2020 performance, GIPS compliant firms must have updated GIPS Reports.  It's the final deadline in the transition to the updated GIPS standards. This webinar will help you prepare and confirm best practices for your firm, covering:

• Most-asked 2020 transition questions;
• When to use GIPS Composite Reports or GIPS Fund Reports, or both; and
• New guidance for presenting model and prior firm performance, and database implications.

Don''t Miss Our Upcoming Webinar: 
What Do We Mean by Diversity and Inclusion, and Why it Matters to Compliance Professionals

Join us on July 28th at 2:00pm ET

When employees are engaged and feel connected to an organization, they are more likely to embrace and uphold the culture of compliance. Unfortunately, recent studies have shown close to 70% of corporate workers feel disengaged and disconnected from their company.

Presented by the NSCP Diversity & Inclusion Committee, this webinar will discuss what is meant by diversity, inclusion, and privilege. Using publicly available metrics, survey results and other data, this webinar will explain how the feelings of belonging and loyalty to a company - which affect the culture of compliance - can be tied to diversity, inclusion, and equity (equal pay, benefits, cultural considerations, etc.). It will also review external influences driving diversity and inclusion efforts.

Thanks for your response to our latest BIG Question:

Assuming your firm is currently not conducting
in-person branch office inspections, when
do you expect to resume such inspections?

Here''s how you answered:

1) My firm will resume in-person branch office inspections when state travel advisories are lifted in states where the firm has branch offices.
68.8%
  

2) My firm will resume in-person branch office inspections no earlier than 2021.
15.4%

 
3) My firm is undecided at this time.
15.8%

NSCP Membership Empowers You

Register & Save

Register for the NSCP 2020 National Conference and Become a Member
Now for Savings on Both

Conference Summer savings end August 31st -
Register today and choose "Become a Member" to save $50 on Membership at the same time.

Attend the only conference that is "For Compliance, By Compliance." Become an NSCP member for full access to a community of like-minded people, exceptional experiences, practical and compelling content, and essential tools that empower and inspire.

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)

2 Ways to Save: 
Group Discount or 
Become-a-Member

NSCP National Conference 
October 19-21, 2020 - Virtual

Register with 3 or More Colleagues
to get the Group Discount
OR
Save $50 on Annual NSCP Membership when you Register for the Conference

This year''s NSCP Virtual National Conference promises insightful content, powerful presentations and virtual networking opportunities. 

We want you to be a part of it! And we also want you to stay a part of it! 

Consider becoming a member when you register this year; unlocking access to our professional community and take your onsite networking and collaboration online, all year round. 

Be sure to coordinate your registration plans with your colleagues so that 3 or more can register together to receive the best discount rate of $500 per person.

This message is brought to you by your Industry Award-Winning
Compliance Firm:

Subscribe today to Foreside's Knowledge Center! We are committed to providing solutions and knowledge that will allow you to focus on your core business without sacrificing compliance best practices.

68 Sessions to Choose From
at the NSCP National Conference

Gain practical tools and enhance your compliance skills
in sessions facilitated by industry experts

Here's a sampling of our sessions for all industry areas:

• Creating Effective Oversight Structures
• Ethics of Technology
• Preparation for Disasters, Pandemics and Other Unexpected Events
• Protecting Vulnerable Adults
• Compliance Passport: Perspective Beyond the U.S. Borders
• Cultural Intelligence and Bias
• The Roles of Compliance During Corporate Change
• Understanding the SEC''s Proposed Advertising Rules
• Institutional Conflicts of Interest
• Locating and Remediating Cybersecurity Issues
• Essential Issues Impacting Retirement Accounts
• FinTech & RegTech Innovations
• The Cannabis Compliance Conundrum
• Effective Written and Oral Business Communications
• FCPA and Other Fraud Concerns
• Beware: State Rules May Impact Federally Registered Firms
• Small Firm Application of Reg BI
• The Impact of Digital Assets on Your Compliance Program

This message is brought to you by RegEd

RegEd is the market-leading provider of RegTech enterprise solutions with relationships with more than 200 enterprise clients, including 80% of the top 25 financial services firms. The company is recognized for continuous regulatory technology innovation with solutions hall-marked by workflow-directed processes, data integration, regulatory intelligence, automated validations, business process automation and compliance dashboards.

A Look at What We Accomplished Together
in the Second Quarter of 2020

NSCP in Action

• Unannounced branch exams
• Business concerns in lieu of COVID-19
• Form CRS for state registered RIAs

• FINRA warns of fraudulent phishing emails purporting to be from FINRA
• Insider trading case against private equity firm
• FINRA guidance on remote location supervision

• Regulatory relief from the SEC and MSRB
• SEC enforcements/exams and COVID-19

Hear from SEC, FINRA and DOL Regulators On the Topics that Matter Most to You

Register Now
NSCP Midwest Regulatory Interchange - Virtual
July 24th (9:00 AM - 12:15 PM Mountain Time)

Sizzling Hot Summer Sale
Ends August 31^st

Save $100 by registering now for the
NSCP National Conference before the rates increase.

This message is brought to you by your trusted partner for
Compliance and FinOp services:

Subscribe today to gain the SDDco Perspective on the securities industry.

Human Risk:
Bringing Science to Compliance

Don't miss former regulator and CCO Christian Hunt's keynote address at the NSCP National Conference

This message is brought to you by Ascendant Compliance Management

Compliance Solutions Strategies is proud to be Sponsors of NSCP!
Compliance-as-a-Service: Regulatory Technology Driven by Data.
Backed by Service

Forward Thinking:
New Cybersecurity Considerations for 2020 and Beyond

Join us on August 4th at 2:00pm ET

If there is one thing firms, the industry and the workforce learned from COVID-19, it is that remote capabilities and effective cybersecurity measures are now not only a benefit, but also a necessity during these unprecedented times of transition. As broker-dealers and registered investment advisers have had to transition to working-from-home, new cybersecurity risks have continued to emerge and with new risks certain considerations may go unnoticed. In this webinar, we will explore the multi-faceted challenges currently facing the industry and the tools that broker-dealers and registered investment advisers are using to address cybersecurity issues and concerns as they evolve.
 
In partnership with NSCP, Adam Stutz, Compliance Consultant, Core Compliance & Legal Services, Inc. and Nicole Dragoo, COO/CCO, Chandler Asset Management will be discussing these issues, where attendees will be able to learn:

• Lessons learned from hurdles encountered while working-from-home
• Steps on how to identify risk factors and areas of weakness
• The keys to ensuring your staff understands their role in preventing exposures, especially in a remote work environment
• Best practices for managing their data, including storage, backup and dealing with data sprawl
• How to determine the right risk management solution for their companies
• How to assess the best cybersecurity methods to implement at your firm
• Review of the SEC OCIE July 2020 Risk Alert on  Cybersecurity: Ransomware Alert

Assuming your firm is currently not conducting
in-person branch office inspections, when
do you expect to resume such inspections?
 

Registration Now Open
for NSCP''s Seminars & Webinars

NSCP's 12 Virtual Half Day Educational Seminars

JANUARY 28th SEMINARS

1. Starting with the End Results in Mind: Tips for Remote Supervision and 
    Remote Audits
2. Cybersecurity: Am I a Compliance Officer or an Information Security Officer?
 

FEBRUARY 18th SEMINARS

3. Incorporating SEC & FINRA Exam Priorities into Your Compliance Program
4. Make it Matter: Effective Risk Management
 

MARCH 18th SEMINARS

5. Conflicts of Interest: A Closer Look
6. Hot Topics in Compliance: Best Practices for Managing Through Uncertainty
 

APRIL 27th SEMINARS

7. Essential Skills for Compliance Program Management
8. Communication & Professional Interaction for Compliance Professionals
 

MAY 25th SEMINARS

9. Maximize Your Vendor Management Program
10. From Theory to Practice: Managing a Robust Code of Ethics Program
 

JUNE 22nd SEMINARS

11. If you Build It, They Will Come: Leveraging Compliance Technology
      & Automation
12. Sharing Solutions: Implementing the New SEC Advertising Rule

Virtual Regulatory Interchange Webinars
Featuring FINRA, SEC, DOL and NASAA