Sunday, October 27, 2024

Featured
Registration

2:00 PM - 7:00 PM

Welcome Reception for NSCP Members

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

Welcome & Opening Remarks

8:50 AM - 9:00 AM

General Session - Keynote (OPEN)

9:00 AM - 10:00 AM

1a. ALL – Avoiding Greenwashing: Compliance Considerations for ESG Investments (Intermediate)

10:15 AM - 11:15 AM

1b. ALL LAB – Managing Conflicts of Interest and Employee Reporting Obligations (Intermediate)

10:15 AM - 11:15 AM

1c. BD LAB – Best Practices for Testing, Supervision, and Surveillance (Intermediate) 

10:15 AM - 11:15 AM

1d. BD – Interaction with the FINRA MAP Group on Rule 1017 (OPEN)

10:15 AM - 11:15 AM

1e. IA/PF – Regulatory Filings: Requirements, Pitfalls and Best Practices (Intermediate)

10:15 AM - 11:15 AM

1f. IA/IC/PF – Cybersecurity Risk Management (Intermediate)

10:15 AM - 11:15 AM

1g. IA/PF - Annual Review of Policies and Procedures (Basic)

10:15 AM - 11:15 AM

2a. ALL - Building your Compliance Team (Intermediate)

11:30 AM - 12:30 PM

2b. BD – Cybersecurity Risk Management (Intermediate)

11:30 AM - 12:30 PM

2c. BD LAB – Preparing for BD Regulatory Examinations (Intermediate)

11:30 AM - 12:30 PM

2d. BD/IA - Due Care and Investment Advice: Confluence of Duties of Care? (Advanced)

11:30 AM - 12:30 PM

2e. IA/IC/PF LAB – Preparing for SEC Regulatory Examinations (Intermediate)

11:30 AM - 12:30 PM

2f. PF – Performance Presentations in Fund Marketing (Intermediate)

11:30 AM - 12:30 PM

2g.  BD/IA - Dual Registrants Talk Group (Small to Medium Firms)

11:30 AM - 12:30 PM

2h. BD/IA - Dual Registrants Talk Group (Large Firms)

11:30 AM - 12:30 PM

Luncheon & NSCP Business Meeting (OPEN)

12:30 PM - 1:30 PM

3a. ALL – Ethical Practice Programs in Action (Intermediate)

1:45 PM - 3:00 PM

3c. ALL LAB – MNPI: Preventing Illegal “Insider Trading” (Intermediate) 

1:45 PM - 3:00 PM

3c. BD - Recommending Alternative or Complex Products (Intermediate)

1:45 PM - 3:00 PM

3d. ALL – Responding to Regulatory Investigations and Inquiries (Advanced)

1:45 PM - 3:00 PM

3e. IA - Custody: Traps for the Unwary (Basic)

1:45 PM - 3:00 PM

3f. IA LAB - Compliance Testing and Surveillance for Advisers (Intermediate)

1:45 PM - 3:00 PM

3g. ALL - Emerging Leaders Talk Group

1:45 PM - 3:00 PM

3h. BD - Institutional Firms Talk Group

1:45 PM - 3:00 PM

4a. ALL – Best Practices for U.S. Public Pension Plan, Foundation, and Endowment Clients (Intermediate)

3:15 PM - 4:30 PM

4b. ALL LAB - Integrating Compliance During M&A Transition (Intermediate)

3:15 PM - 4:30 PM

Tuesday, October 29, 2024

Featured
Breakfast

7:30 AM - 9:00 AM

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

9:00 AM - 10:00 AM

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

10:15 AM - 11:15 AM

5b. ALL – Confronting Ethical Erosion (Intermediate)

10:15 AM - 11:15 AM

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

10:15 AM - 11:15 AM

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

10:15 AM - 11:15 AM

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

10:15 AM - 11:15 AM

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

10:15 AM - 11:15 AM

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

10:15 AM - 11:15 AM

5h. BD - Remote Auditing and Supervision Talk Group

10:15 AM - 11:15 AM

5i. IA - Institutional Firms Talk Group

10:30 AM - 11:30 AM

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

11:30 AM - 12:30 PM

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

11:30 AM - 12:30 PM

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

11:30 AM - 12:30 PM

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

11:30 AM - 12:30 PM

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

11:30 AM - 12:30 PM

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

11:30 AM - 12:30 PM

6g. PF - Private Fund Investor Quarterly Reporting Requirements (Intermediate)

11:30 AM - 12:30 PM

6h. ALL - Very Small Firm Issues Talk Group

11:30 AM - 12:30 PM

6i. ALL - Pension Funds, Foundations and Endowments Talk Group

11:30 AM - 12:30 PM

Networking Luncheon with Guest Speaker (OPEN)

12:30 PM - 1:35 PM

7a. ALL – Evolving Privacy Regulations (Intermediate)

1:50 PM – 3:05 PM

7b. ALL LAB – Breaking the Stress Cycle to Achieve Balance and Maximum Effectiveness (Basic)

1:50 PM – 3:05 PM

7c. ALL LAB - Follow the Money: Financial Forensics (Intermediate)

1:50 PM – 3:05 PM

7d. BD/IA – Effective Supervisory Programs for Smaller Firms (Intermediate)

1:50 PM – 3:05 PM

7e. BD/IA – Effective Supervisory Programs for Larger Firms (Intermediate)

1:50 PM – 3:05 PM

7f. IA/PF – Global Compliance and Marketing (Intermediate)

1:50 PM – 3:05 PM

7g. PF - Preferential Treatment:  Side Letters and Other Issues (Intermediate)

1:50 PM – 3:05 PM

7h. ALL - Technology Challenges Talk Group

1:50 PM – 3:05 PM

7i. BD - Retail Brokerage Issues Talk Group

1:50 PM – 3:05 PM

Wednesday, October 30, 2024