Hilton Baltimore, Maryland October 19 – October 21


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

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

Regulatory Panels

Daily regulatory sessions with speakers from SEC, FINRA, MSRB, NFA, and NASAA.

Continuing Education

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

Educational Sessions

Over 60 Breakout Sessions in various formats:  Panels, Labs, Forums, Talk Groups

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. 

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org