NSCP.ORG

Holly Orefice 7/17/24 Holly Orefice 7/17/24

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

6:30 AM - 7:30 AM

Read More

Meghan Flanagan 9/12/23 Meghan Flanagan 9/12/23

Breakfast

7:30 AM - 9:00 AM

Read More

Meghan Flanagan 4/8/22 Meghan Flanagan 4/8/22

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

8:30 AM - 9:30 AM

Read More

Meghan Flanagan 4/8/22 Meghan Flanagan 4/8/22

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

9:45 AM - 11:00 AM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

9:45 AM - 11:00 AM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

9:45 AM - 11:00 AM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

9:45 AM - 11:00 AM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

9:45 AM - 11:00 AM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

9:45 AM - 11:00 AM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

5b. BD – FINRA Regulatory Overview (Intermediate)

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

11:30 AM – 12:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

Networking Luncheon

12:30 PM - 1:30 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

1:45 PM – 3:00 PM

Read More

Meghan Flanagan 4/7/22 Meghan Flanagan 4/7/22

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

1:45 PM – 3:00 PM

Read More