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The only conference that's "For Compliance, By Compliance"

Connect and focus on the practical solutions to empower yourself and your compliance program

Regulatory Panels

Regulatory Sessions with speakers from FINRA, MSRB, NASAA, NFA, SEC, and State Securities Commissions

Continuing Education

The NSCP National Conference offers credits for CPE, CLE, CSCP and more.

Educational Sessions

3 Keynote Addresses plus 68 educational breakout sessions

Agenda Highlights

Essential Compliance Topics to Enhance Your Skills & Knowledge:

• Managing Dual Registrant Requirements
• FinTech & Technology Governance
• The GIPs 2020 Standards
• Anti-corruption, Bribery & Fraud Issues
• Global Marketing and Distribution Compliance Practices
• Creating Effective Supervision Structures
• Why Diversity & Inclusion Matter
• Untangling Custody Responsibilities
• When Legal and Ethical Considerations Collide
• Integrating Behavioral Ethical Standards with Compliance Programs
• ERISA: Now and into the Future
• Evolving Standards of Care
• Supporting Women in Compliance
• Ahead of the Curve Compliance: Blockchain & Digital Assets
• Follow the Money: Analyzing Your Firm’s Financials
• Emotional Intelligence & Interpersonal Skills
• Regulatory Review & Enforcement Panels

From discussing best practices for implementing regulatory changes to exploring the benefits of diversity and inclusion, attendees will receive great insight and practical tools to take back to their firms. Whether hearing from expert panels, engaging in hands-on learning in labs, or sharing with other compliance professionals in forums and talk groups, we’re confident you’ll leave the National Conference more prepared for the future.

Featuring Our Most Sought-After Lab Sessions

• Compliance’s Role in ESG Investing and Corporate Engagement
• When is an Advertisement Deemed to be Misleading?
• Roadmap to Conducting Annual Compliance Reviews
• Regulatory Exams: Best Preparation
• Records Management
• Testing the Written Policies & Procedures
• Risk Identification & Creating a Risk Matrix
• Financial Forensics
• Initial and On-going Vendor Due Diligence and Oversight
• Conducting a Mock Exam
• Conflicts of Interest & Employee Reporting Requirements
• Social Media Networking for Compliance Officers

Labs are hands-on learning sessions designed to provide real life application whereby attendees engage in discussions, share their thoughts and experiences and benefit from mutual learning. Labs are effective for stimulating a dynamic learning environment with active participation from attendees and the sharing of practical and useful tools.

Inspirational and Insightful Keynote Speakers:

Monday Morning Keynote:

Lee Rubin, Speaker and Author
5 Components of Extraordinary Teams

Tuesday Morning Keynote:

Dov Seidman, CEO of LRN and Author of HOW? Leading in a Reshaped World

Tuesday Lunch Keynote:

Beth Haddock, Managing Partner of Warburton Advisers and Author
Triple Bottom-line Compliance: How to Deliver Protection, Productivity and Impact

Wednesday Morning Keynote Interview:

Assembly Member Clyde Vanel
Chair, Subcommittee on Internet and
New Technology

VIEW ALL SPEAKERS

2021 NSCP NATIONAL CONFERENCE

Gaylord National Hotel in National Harbor MD
November 8-10, 2021

The only conference that's "For Compliance, By Compliance"

Regulatory Panels

Continuing Education