NSCP.ORG

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

Breakfast

7:30 AM - 9:00 AM

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Designsite 9/12/23 Designsite 9/12/23

ACA/NSCP Artificial Intelligence Survey Results - Informational Breakfast Session

8:00 AM - 8:45 AM

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

General Session - Keynote Panel: Regulatory Enforcement Priorities (OPEN)

9:00 AM - 10:00 AM

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

5a. ALL – Artificial intelligence on the Rise (Intermediate - OPEN)

10:15 AM - 11:15 AM

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

5b. ALL – Confronting Ethical Erosion (Intermediate - OPEN)

10:15 AM - 11:15 AM

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

5c. ALL LAB - Presenting a Successful Compliance Program - for Small to Mid-size Firms (Intermediate - CLOSED)

10:15 AM - 11:15 AM

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

5d. BD – Current State of Trading and Trade Reporting (Intermediate - OPEN)

10:15 AM - 11:15 AM

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

5e. BD LAB – Creating Compliant Marketing Materials and Digital Communications (Basic - CLOSED)

10:15 AM - 11:15 AM

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

5f. IA/PF - Anti-Money Laundering: Understanding Financial Crimes (Intermediate - OPEN)

10:15 AM - 11:15 AM

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

5g. IC – Investment Company Regulation: Current Issues (Intermediate - OPEN)

10:15 AM - 11:15 AM

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

5h. BD - Remote Auditing and Supervision Talk Group (CLOSED)

10:15 AM - 11:15 AM

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Holly Orefice 4/7/22 Holly Orefice 4/7/22

5i. IA - Institutional Firms Talk Group (CLOSED)

10:30 AM - 11:30 AM

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

6a. ALL - Risk Identification: The Foundation of a Great Risk Management Program (Basic - OPEN)

11:30 AM - 12:30 PM

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

6b. ALL - Diversity, Equity, and Inclusion: Advancing the Initiative in 2024 and Beyond (Intermediate - OPEN)

11:30 AM - 12:30 PM

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

6c. ALL LAB - Regulatory Change Management (Intermediate - CLOSED)

11:30 AM - 12:30 PM

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

6d. BD/IA LAB – Protecting Senior/Vulnerable Investors (Intermediate - CLOSED)

11:30 AM - 12:30 PM

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

6e. BD - Recommending Alternative or Complex Products (Intermediate - OPEN)

11:30 AM - 12:30 PM

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

6f. IA - Recommending Alternative or Complex Products (Intermediate - OPEN)

11:30 AM - 12:30 PM

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

6g. PF - Preparing for PF Exams in the Aftermath of PFAR (Intermediate - CLOSED)

11:30 AM - 12:30 PM

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

6h. ALL - Very Small Firm Issues Talk Group (CLOSED)

11:30 AM - 12:30 PM

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