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