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NSCP: National Society of Compliance Professionals
November 1, 2015 - November 4, 2015
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 company, municipal advisor and private fund/hedge fund compliance issues. The workshops, labs and roundtable discussions are all led by experienced industry veterans who focus on the practical implementation of compliance policies and procedures.
Some offerings this year include:
- This year’s conference begins Sunday, November 1st and features a FINRA Firm Outreach and SEC Opportunities Expo
- Paying conference attendees will receive a complimentary copy of the must-have compliance best practices book “Modern Compliance: Best Practices in Securities and Finance,” co-written by esteemed compliance professionals and service providers (retail value $275)
- “Kick Off” Reception with “Modern Compliance: Best Practices in Securities and Finance” author panel and book signing
- Monday night Networking Dinner overlooking the Potomac River, at The Sunset Room, catered by Wolfgang Puck
- Confirmed keynote speakers, Susan Axelrod, FINRA, David Chaves, FBI, Lynnette Kelly, MSRB, and Marc Wyatt, OCIE
To find out more and to register, click here.