2024 NSCP NATIONAL CONFERENCE AGENDA

REGULATORS may attend any sessions marked as “OPEN” on the agenda.

PRESS may only attend “General Sessions” and “Luncheons”; they may NOT attend any other sessions on the conference agenda.

“Basic”, “Intermediate”, and “Advanced” denote the learning levels appropriate for each session.

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Sunday, October 27, 2024

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 28, 2024

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 29, 2024

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 30, 2024