Monday Holly Orefice 5/8/25 Monday Holly Orefice 5/8/25 Registration 7:00 AM - 5:00 PM Read More Monday Meghan Flanagan 5/8/25 Monday Meghan Flanagan 5/8/25 Breakfast 7:30 AM - 9:00 AM Read More Monday Holly Orefice 5/8/25 Monday Holly Orefice 5/8/25 NSCP Business Meeting 8:30 AM - 9:30 AM Read More Monday, New Attendee/New Member Holly Orefice 5/8/25 Monday, New Attendee/New Member Holly Orefice 5/8/25 New Attendee / New Member Session 8:30 AM - 9:30 AM Read More Monday Holly Orefice 5/2/22 Monday Holly Orefice 5/2/22 Welcome & Opening Remarks (OPEN) 9:45 AM - 9:55 AM Read More Monday, Keynote-Monday Meghan Flanagan 4/8/22 Monday, Keynote-Monday Meghan Flanagan 4/8/22 General Session Keynote 9:55 AM - 10:45 AM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1a. ALL – Artificial Intelligence on the Rise: Compliance Use Cases for AI (Basic) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1b. ALL – Managing Third-Party Relationships (Intermediate) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1c. BD/IA – Compliance Issues related to ERISA Covered Plans and IRAs (Intermediate) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1d. Session Topic To Be Announced 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. ALL LAB – Effective Enterprise Risk Mitigation (Intermediate) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. BD LAB – Best Practices for Records Management (Advanced) 11:00 AM - 12:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Awards Luncheon 12:15 PM - 1:15 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. ALL - Crypto 2.0: Compliance Considerations for Crypto Assets (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. PF – Compliance Considerations in Reports and Other Communications with Investors (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. ALL LAB – Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. BD LAB – Preparing for BD Regulatory Examinations (Intermediate) 1:30 PM - 2:30 PM Read More Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Medium to Large Firms) 1:30 PM - 2:30 PM Read More Older Posts
Monday Holly Orefice 5/8/25 Monday Holly Orefice 5/8/25 NSCP Business Meeting 8:30 AM - 9:30 AM Read More
Monday, New Attendee/New Member Holly Orefice 5/8/25 Monday, New Attendee/New Member Holly Orefice 5/8/25 New Attendee / New Member Session 8:30 AM - 9:30 AM Read More
Monday Holly Orefice 5/2/22 Monday Holly Orefice 5/2/22 Welcome & Opening Remarks (OPEN) 9:45 AM - 9:55 AM Read More
Monday, Keynote-Monday Meghan Flanagan 4/8/22 Monday, Keynote-Monday Meghan Flanagan 4/8/22 General Session Keynote 9:55 AM - 10:45 AM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1a. ALL – Artificial Intelligence on the Rise: Compliance Use Cases for AI (Basic) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1b. ALL – Managing Third-Party Relationships (Intermediate) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1c. BD/IA – Compliance Issues related to ERISA Covered Plans and IRAs (Intermediate) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1d. Session Topic To Be Announced 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1e. ALL LAB – Effective Enterprise Risk Mitigation (Intermediate) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 1f. BD LAB – Best Practices for Records Management (Advanced) 11:00 AM - 12:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 Awards Luncheon 12:15 PM - 1:15 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2a. ALL – Behavioral Ethics in Finance: Detecting Compliance Risks Before They Escalate (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2b. ALL - Crypto 2.0: Compliance Considerations for Crypto Assets (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2c. IA/PF—Compliance Testing, Surveillance, and the Annual Review (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2d. PF – Compliance Considerations in Reports and Other Communications with Investors (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2e. ALL LAB – Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2f. BD LAB – Preparing for BD Regulatory Examinations (Intermediate) 1:30 PM - 2:30 PM Read More
Monday Meghan Flanagan 4/8/22 Monday Meghan Flanagan 4/8/22 2g. BD/IA - Dual Registrants Talk Group (Medium to Large Firms) 1:30 PM - 2:30 PM Read More
