2025 NSCP National Conference Agenda

Click on the session title to learn more about each session.

A full description of the sessions will be available within the conference app for registered attendees to access prior to the conference

Sunday, October 26, 2025

Featured
NSCP Give Back Community Activity

2:00 PM - 6:30 PM

Registration

2:00 PM - 7:00 PM

Welcome Reception

5:00 PM - 6:30 PM

Monday, October 27, 2025

Featured
Registration

7:00 AM - 5:00 PM

Breakfast

7:30 AM - 9:00 AM

NSCP Business Meeting

8:30 AM - 9:30 AM

New Attendee / New Member Session

8:30 AM - 9:30 AM

Welcome & Opening Remarks (OPEN)

9:45 AM - 9:55 AM

General Session Keynote

9:55 AM - 10:45 AM

1a. ALL – Artificial Intelligence on the Rise: Compliance Use Cases for AI (Basic)

11:00 AM - 12:15 PM

1b. ALL – Managing Third-Party Relationships (Intermediate)

11:00 AM - 12:15 PM

1c. BD/IA – Compliance Issues related to ERISA Covered Plans and IRAs (Intermediate) 

11:00 AM - 12:15 PM

1d. Session Topic To Be Announced

11:00 AM - 12:15 PM

1e. ALL LAB – Effective Enterprise Risk Mitigation (Intermediate)

11:00 AM - 12:15 PM

1f. BD LAB – Best Practices for Records Management (Advanced) 

11:00 AM - 12:15 PM

Awards Luncheon

12:15 PM - 1:15 PM

2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate)

1:30 PM - 2:30 PM

2b. ALL - Crypto 2.0: Compliance Considerations for Crypto Assets (Intermediate)

1:30 PM - 2:30 PM

2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate)

1:30 PM - 2:30 PM

2d. PF – Compliance Considerations in Reports and Other Communications with Investors (Intermediate)

1:30 PM - 2:30 PM

2e. ALL LAB – Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate)

1:30 PM - 2:30 PM

2f. BD LAB – Preparing for BD Regulatory Examinations (Intermediate)

1:30 PM - 2:30 PM

2g. BD/IA - Dual Registrants Talk Group (Medium to Large Firms)

1:30 PM - 2:30 PM

2h. BD/IA - Dual Registrants Talk Group (Smaller Firms)

1:30 PM - 2:30 PM

3a. ALL – Evolving Privacy Regulations (Intermediate)  

2:45 PM - 4:00 PM

3b. ALL – Demystifying CRD and IARD:  Navigating the Essentials (Basic)

2:45 PM - 4:00 PM

3c. BD/IA - Evaluating Enforcement Risk When Deficiencies or Violations are Identified (Intermediate)

2:45 PM - 4:00 PM

3d. IA/PF - The Marketing Rule: Practical Guidance from What We Have Learned (Intermediate) 

2:45 PM - 4:00 PM

3e. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate)

2:45 PM - 4:00 PM

3f. ALL LAB – Positioning a Compliance Program in Small to Mid-size Firms (Intermediate)

2:45 PM - 4:00 PM

3g. ALL – AI & Technology Challenges Talk Group - (CLOSED)

2:45 PM - 4:00 PM

Networking Reception (OPEN)

4:00 PM - 5:30 PM

Tuesday, October 28, 2025

Featured
NSCP Fun Run 5K (Run with Compliance, not against it)

6:30 AM - 7:30 AM

Breakfast

7:30 AM - 9:00 AM

General Session - Keynote Panel: SEC Examination Leaders Forum (OPEN)

8:30 AM - 9:30 AM

4a. ALL - Cybersecurity: Safeguarding Against Evolving Threats in the Digital Age (Intermediate)

9:45 AM - 11:00 AM

4b. BD/IA - Recommending Alternative or Complex Products (Intermediate)

9:45 AM - 11:00 AM

4c. IA - Integrating Compliance During M&A Transition (Advanced)

9:45 AM - 11:00 AM

4d. IA/PF – Global Filing and Registration Considerations (Intermediate)

9:45 AM - 11:00 AM

4e. ALL LAB – How to Conduct Compliance Testing (Basic)

9:45 AM - 11:00 AM

4f. ALL LAB - Customer Identification, Enhanced Due Diligence, and Risk Ranking (Intermediate)

9:45 AM - 11:00 AM

5a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced) 

11:30 AM – 12:30 PM

5b. BD – FINRA Regulatory Overview (Intermediate)

11:30 AM – 12:30 PM

5c. IA - Custody: How to Comply or Avoid It (Basic)

11:30 AM – 12:30 PM

5d. PF - Marketing and Sales of Private Fund Interests (Intermediate)

11:30 AM – 12:30 PM

5e. ALL LAB – Detecting and Reporting Suspicious Activity (Intermediate)

11:30 AM – 12:30 PM

5f. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate)

11:30 AM – 12:30 PM

5g. ALL - Pension Funds, Foundations and Endowments Talk Group - (CLOSED)

11:30 AM – 12:30 PM

5h. ALL – Advance Your Career in Compliance Talk Group - (CLOSED)

11:30 AM – 12:30 PM

Networking Luncheon

12:30 PM - 1:30 PM

6a. ALL - Developing your Compliance Team (Intermediate)

1:45 PM – 3:00 PM

6b. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced)

1:45 PM – 3:00 PM

6c. IA/PF - Anti-Money Laundering: Understanding Financial Crimes and Countermeasures (Intermediate)

1:45 PM – 3:00 PM

6d. PF – Conflicts of Interest in the Management of Private Funds (intermediate)

1:45 PM – 3:00 PM

6e. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate) 

1:45 PM – 3:00 PM

6f. ALL LAB - Marketing Compliance Lab: Creating & Reviewing Effective Digital Communications (Basic)

1:45 PM – 3:00 PM

7a. ALL – Responding to Regulatory Investigations and Inquiries (Advanced)

3:15 PM – 4:30 PM

7b. ALL – “Insider Trading” Hot Topics (Intermediate)

3:15 PM – 4:30 PM

7c. BD/IA – Proactive Supervision:  Handling Disciplinary Issues and Related Problems (Intermediate)

3:15 PM – 4:30 PM

7d. IA/PF – Addressing New & Complex Regulatory Filings (Intermediate)

3:15 PM – 4:30 PM

7e. Session Lab Topic To Be Announced

3:15 PM – 4:30 PM

7f. ALL LAB - Financial Health and Forensic Review (Intermediate)

3:15 PM – 4:30 PM

Wednesday, October 29, 2025