Tag Archives: NSCP

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 industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.

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 industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC, DOL & FINRA regulators.

National Society of Compliance Professionals – National Conference

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 :: Investment Advisers :: Investment Companies :: Municipal Advisors :: Private Funds The  NSCP conference offers workshops, labs, and forum discussions led by experienced industry veterans sharing … Continue reading National Society of Compliance Professionals – National Conference

2016 NSCP 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 :: Private Funds Workshops, labs, and forum discussions are led by experienced industry veterans sharing the practical implementation of compliance policies and procedures. Special offerings: … Continue reading 2016 NSCP National Conference

LeGaye Law Firm to Attend the 2015 NSCP National Conference

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 (NSCP) National Conference in National Harbor, Maryland, November 1-4, 2015. In attendance will be Daniel E. LeGaye and Mr. Michael Schaps, who bring with them a seasoned … Continue reading LeGaye Law Firm to Attend the 2015 NSCP National Conference

NSCP: National Society of Compliance Professionals

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 … Continue reading NSCP: National Society of Compliance Professionals

NSCP Offers Free Webinar: Managing Investment Compliance

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, inconsistent interpretation of mandates, rules that don’t match actual trading activity or regulations, false positives, excessive overrides and data issues are just a few of … Continue reading NSCP Offers Free Webinar: Managing Investment Compliance

NSCP: 2015 Regional Conference – New York, NY

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 and service providers in the financial services industry.  Our workshops and labs are led by experienced industry veterans and legal professionals who focus on the … Continue reading NSCP: 2015 Regional Conference – New York, NY

NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program

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 automation help you mitigate liability?Join NSCP and Compliance Science for a webinar discussion on CCO Liability and how compliance automation can help on April 21st … Continue reading NSCP: Free Webinar-Mitigate Your Liability by Leveraging Automation in Your Compliance Program

NSCP: 2015 Regional Conference – St. Louis, MO

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 compliance industry professionals and service providers in the financial services industry.  Our workshops and labs are led by experienced industry veterans and legal professionals who focus … Continue reading NSCP: 2015 Regional Conference – St. Louis, MO