CPE Fields of Study


CPE Fields of Study

2019 NSCP National Conference

Session Name CPE Field of Study Credits
1a. BD – Regulatory Review (OPEN) Advanced
1b. IA/IC/PF – The 2020 GIPS Standards Advanced
1c. IC – Investment Company Compliance 101 Advanced
1d. ALL – Anti-corruption, Bribery & Fraud Issues Basic
1e. ALL Lab – Compliance’s Role in ESG Investing and Corporate Engagement Intermediate
1f. IA/PF Lab – When is an Advertisement Deemed to be Misleading? Intermediate
1g. MA Forum – Exam Prep & Best Practices Intermediate
1h. ALL Talk Group – New & Prospective NSCP Members Intermediate
2a. IA/IC/PF – Regulatory Review (OPEN) Intermediate
2b. BD – Creating Effective Supervision Structures Intermediate
2c. ALL – When Legal and Ethical Considerations Collide Intermediate
2d. ALL – Small Firm Decisions: Outsource or Automate? Basic
2e. BD Lab – Annual Review of Business Basic
2f. MA Lab – Advertising Basic
2g. ALL Forum – Canadian Compliance Basic
2h. BD/IA Talk Group – Dual Registrants Intermediate
3a. BD/IA – FinTech & Technology Governance (OPEN) Basic
3b. IA/IC/PF – Reassessing Pricing and Valuation Models Basic
3c. ALL – Basics of ERISA Basic
3d. ALL – Supporting Women in Compliance Basic
3e. BD Lab – Conducting a Mock Exam Basic
3f. IA Lab – Conducting a Mock Exam Basic
3g. BD Forum – Field Audit Program Advanced
3h. MA Talk Group – Introduction to Municipal Advisors Intermediate
4a. IA/IC/PF – Enforcement Issues (OPEN) Advanced
4b. ALL – Anti-Money Laundering and Fraud Intermediate
4c. ALL – Evolving Standards of Care Intermediate
4d. ALL – FinTech & RegTech Innovations Intermediate
4e. ALL Lab – Regulatory Exams: Best Preparation Intermediate
4f. BD Lab – When is an Advertisement Deemed to be Misleading? Intermediate
4g. IC Forum – Investment Companies Issues Intermediate
4h. ALL Talk Group – Women in Compliance Intermediate
5a. BD – Enforcement Issues (OPEN) Intermediate
5b. ALL – ERISA: Now and into the Future Intermediate
5c. IA – Compliance Passport: Perspective Beyond the U.S. Borders Intermediate
5d. ALL – Integrating Behavioral Ethical Standards with Compliance Programs Intermediate
5e. BD/MA Lab – Records Management Intermediate
5f. ALL Lab – Testing the Written Policies & Procedures Lab Intermediate
5g. BD/MA Forum – Best Practices for Adapting to Regulatory Notices Intermediate
5h. Public Pension Funds Talk Group Intermediate
6a. BD – FINRA Qualification Examination Program & Continuing Education (OPEN) Intermediate
6b. ALL – Integrating and Adapting to Corporate Changes Intermediate
6c. ALL – Ahead of the Curve Compliance: Blockchain & Digital Assets Intermediate
6d. ALL – Cybersecurity for Small to Mid-size Firms Intermediate
6e. BD/MA Lab – Risk Identification & Creating a Risk Matrix Intermediate
6f. IA Lab – Financial Forensics Intermediate
6g. IA/IC/PF Forum – Trading Compliance Issues Intermediate
6h. IA Talk Group – Global Advisers Intermediate
7a. BD/IA – Managing Dual Registrant Requirements Intermediate

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