CPE Fields of Study


CPE Fields of Study

2018 NSCP National Conference

Session Name CPE Field of Study Credits
1a. IA/IC/PF Regulatory Review Panel (OPEN) Regulatory Ethics –Technical 1.5
1b. ALL – Best Practices for Managing a Global Compliance Program (Advanced) Regulatory Ethics –Technical 1.5
1c. BD/MA – Regulatory Notices: The Year in Review Regulatory Ethics –Technical 1.5
1d. IA/IC – Keeping Current on GIPS Standards Auditing –Technical 1.5
1e. BD/MA – Conflicts of Interest and Employee Reporting Requirements Lab (Fundamental) Regulatory Ethics –Technical 1.5
1f. BD – Field Audit Program Forum Auditing – Technical 1.5
1g. ALL – Canadian Compliance Forum Regulatory Ethics –Technical 1.5
2a. MA – Regulatory Review Panel (OPEN) Regulatory Ethics –Technical 1
2b. PF/PE – Lessons Learned from Key Enforcement Actions Regulatory Ethics –Technical 1
2c. ALL – The Evolution of Fiduciary Standard Rule Regulatory Ethics –Technical 1
2d. IA/IC/PF – 2018 Regulatory Priorities & Best Practices Regulatory Ethics –Technical 1
2e. BD – Regulatory Exams: Best Preparation (Fundamental) Regulatory Ethics –Technical 1
2f. ALL – Risk Identification & Creating a Risk Matrix Lab (Fundamental) Management Services - Technical 1
2g. ALL – New & Prospective NSCP Members Talk Group N/A 1
3a. IA/IC Enforcement Issues (OPEN) Regulatory Ethics –Technical 1.5
3b. ALL – Behavioral Ethics & Conduct Risks Regulatory Ethics –Technical 1.5
3c. BD/MA – 2018 Regulatory Priorities & Best Practices Regulatory Ethics –Technical 1.5
3d. All – Business Continuity & Disaster Recovery – Lessons Learned from Recent Disasters Information Technology - Technical 1.5
3e. ALL – Testing the Written Policies & Procedures Lab (Fundamental) Auditing – Technical 1.5
3f. IA/PF – Q&A with the NFA Forum (OPEN) Regulatory Ethics –Technical 1.5
3g. ALL - Due Diligence of Vendors Talk Group N/A 1.5
4a. BD – Regulatory Review Panel (OPEN) Regulatory Ethics –Technical 1.5
4b. ALL – Emotional Intelligence and Interpersonal Skills to Boost Your Clout Personal Development – Non-Technical 1.5
4c. BD/IA —What You Don’t Know Can Hurt You—State Rules Affecting Federally Registered Firms Regulatory Ethics –Technical 1.5
4d. IA/IC/PF – Regulatory Exams: Best Preparation (Fundamental) Regulatory Ethics –Technical 1.5
4e. ALL – When Legal and Ethical Considerations Collide Lab (Advanced) Regulatory Ethics –Technical 1.5
4f. MA – Small Firm Issues Forum Regulatory Ethics –Technical 1.5
4g. IA/PF – Challenges for Small Firms Talk Group N/A 1.5
5a. BD – Technology Governance (OPEN) Regulatory Ethics –Technical 1.5
5b. ALL – The Basics of Blockchain, Initial Coin Offerings & Cryptocurrencies (Fundamental) Information Technology - Technical 1.5
5c. ALL – Electronic Communications & Social Media Information Technology - Technical 1.5
5d. IA/IC – Trading Compliance Issues Regulatory Ethics –Technical 1.5
5e. IA/PF – Records Management Lab (Advanced) Management Services - Technical 1.5
5f. Public Pension Funds Forum: Personal Securities Trading, Gifts and other Conflicts of Interest Regulatory Ethics –Technical 1.5
5g. ALL – Buying Data: Compliance Protocols Forum Information Technology - Technical 1.5
6a. IA/IC/PF – SEC Insight on Technology & Cybersecurity (OPEN) Information Technology –Technical 1
6b. ALL - Navigating the Privacy Landmines Regulatory Ethics –Technical 1
6c. ALL – Influential RegTech Companies Information Technology - Technical 1
6d. ALL – Technology Trends in Risk Management for Medium to Large Firms Management Services - Technical 1
6e. BD – Remote Auditing Forum Auditing - Technical 1
6f. BD – Trading Firm Issues Talk Group N/A 1
6g.  MA – Exam Prep & Best Practices Talk Group N/A 1
7a. BD – Enforcement Issues (OPEN) Regulatory Ethics –Technical 1.5
7b. ALL – Understanding Your Firm’s Technology Program Information Technology - Technical 1.5
7c. ALL – FinTech Companies and You Information Technology - Technical 1.5
7d. ALL – Cybersecurity for Small to Mid-Size Firms Information Technology - Technical 1.5
7e. IA/PF – Conflicts of Interest & Employee Reporting Requirements Lab (Fundame Regulatory Ethics –Technical 1.5
7f. IA/IC/PF – Valuation Forum Accounting - Technical 1.5
7g. MA – Compliance with New Rules Talk Group N/A 1.5
8a. ALL – Anti-Money Laundering Challenges & Opportunities Regulatory Ethics –Technical
8b. ALL – How to Purchase and Implement Technology Information Technology - Technical 1.5
8c. ALL – Cryptocurrency: Personal Trading, Outside Business Activities & Private Securities Regulatory Ethics –Technical 1.5
8d. BD – Employee Personal Trade & Account Monitoring Lab Regulatory Ethics –Technical 1.5
8e. IA – Untangling Custody Responsibilities Forum (Advanced) Regulatory Ethics –Technical 1.5
8f. IA – Investment Companies as Clients Talk Group

8g. IA/PF - Insider Trading

N/A

Regulatory Ethics - Technical

1.5

1.5

GS - BD/IA - The SEC's Proposed Regulation Best Interest

9a. BD – Understanding FINRA Qualification Examination Program & Continuing Educ

Regulatory Ethics - Technical

Regulatory Ethics –Technical

1

1

9b. ALL – This is Our Voice – Women in Compliance Personal Development – Non-Technical 1
9c. BD/IA – Creating Effective Supervision Structures (Large Firms) Auditing – Technical 1
9d. MA – Required Books and Records for Municipal Advisors Regulatory Ethics –Technical 1
9e. BD – Records Management Lab (Advanced) Regulatory Ethics –Technical 1
9f. IA/PF – Small Firms Forum Personal Development – Non-Technical 1
10a. ALL – Compliance in the Midst of Corporate Change, Mergers & Acquisitions Regulatory Ethics –Technical 1
10b. ALL – Human Resources & Compliance: Working Together for Maximum Effective Personnel/Human Resources – Non-Technical 1
10c. ALL – Investment Product Knowledge (Fundamental) Specialized Knowledge - Technical 1
10d. BD/IA – Managing Dual Registrant Requirements in a Demanding Regulatory Env Regulatory Ethics –Technical 1
10e. IA – When is an Advertisement Deemed to be Misleading? Lab Communications and Marketing – Non-Technical 1
10f. BD – Small Firms Forum Regulatory Ethics –Technical 1


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