NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share … Continue reading NSCP Interactive Compliance Labs – West Coast
NSCP Interactive Compliance Labs provides an in-person setting designed with real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share … Continue reading NSCP Interactive Compliance Labs – East Coast
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by … Continue reading NSCP National Conference
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by … Continue reading NSCP National Conference
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by … Continue reading NSCP National Conference
The NSCP National Conference provides a setting for Investment Advisers, Private Funds and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by … Continue reading NSCP National Conference
The Spring Conference will offer two training tracks, designed for new and for seasoned professionals: • TRACK 1: Building Core Competencies – BD & IA Training for New … Continue reading NSCP Spring Conference and Regulatory Interchange
October 16 – 18, 2017 :: Washington, D.C. :: Omni Shoreham Hotel The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: … Continue reading National Society of Compliance Professionals – National Conference
2016 NSCP National Conference The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals: Broker-Dealers :: Investment Advisers :: Investment Companies :: Municipal Advisors … Continue reading 2016 NSCP National Conference
What is keeping you up at night? CCOs can answer this easily: the threat of personal liability if our company fails to comply with regulations. As many NSCP members know, … Continue reading NSCP Webinar: Current Issues in CCO Liability
The LeGaye Law Firm, a law firm focused on compliance and regulatory issues for the financial industry, is pleased to announce its upcoming attendance at the 2015 National Society of Compliance Professionals … Continue reading LeGaye Law Firm to Attend the 2015 NSCP National Conference
You are invited to attend the NSCP’s annual National Conference for the most comprehensive educational offering within the financial services industry covering over 80 topics, encompassing broker-dealer, investment adviser, investment … Continue reading NSCP: National Society of Compliance Professionals
September 22, 2015 is the last day to register for the National Society of Compliance Professional’s Annual National Conference. Click here to register and get more information.
On the surface, the automated compliance library can appear to be smooth sailing. But when you look below the surface, do you really know what lies beneath? Uncontrolled library growth, … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance
In an era of heightened SEC enforcement, do you know when the SEC will hold you personally liable for employee misconduct? How do you protect yourself and how can compliance … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program
Chicago, IL :: May 7, 2015 :: Federal Reserve Bank
New York, NY :: April 28, 2015 :: AMA Conference Center This one day conference provides a comprehensive review and clarification on current regulatory issues for both compliance industry professionals … Continue reading NSCP: 2015 Regional Conference – New York, NY
St. Louis, MO :: April 9, 2015 :: DoubleTree Hotel St. Louis at Westport This one day conference provides a comprehensive review and clarification on current regulatory issues for both … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO