Registration Step – 2


Nat













Nat







We have pre-filled your registration selection based on the information you provided earlier. If you feel this selection is incorrect please email info@nscp.org or call (860) 672-0843.



e.g. Personal Email Address or Assistant Email Address








I understand that NSCP will provide a Certificate of Attendance to attendees who have successfully scanned into a session within 15 minutes of the start of that session. I also understand that multiple sessions scanned during the same time frame will result in credit for only the session attended for at least 50 minutes. The CE scan is required to satisfy the attendance requirements set by the governing boards and is only accepted if the time stamp is within the first 15 minutes of session start. I understand that I am responsible for confirming the scan capture at the time of scanning and if I am unable to achieve a successful scan I must notify an NSCP staff member immediately or I will not be eligible for credit during the session in question.






Nat

Please do not use the browser back button at this point, you could duplicate your order. To make changes complete your order or contact NSCP.

November 8, 2021

General Session - Keynote Interview with Commissioner Crenshaw (OPEN)

Session 1
1a.  ALL – Data Privacy Regulations and Trends (Intermediate)
1b.  ALL - The DOL Rule (Again! Well Not Exactly…)  (Intermediate) 
1c.  IA/IC/PF – SEC Regulatory Review (OPEN)
1d.  MA – MSRB & SEC Regulatory Review (OPEN) (Intermediate) 
1e.  PF – Legal and Compliance Issues for Private Funds (Intermediate)
1f.  BD – LAB - Managing Marketing: Advertising Compliantly  (Basic) 

Session 2
2a. ALL – Preparation for Disasters and Other Unexpected Events (Intermediate)
2b. ALL – Fundamentals of Anti-Money Laundering (Basic) 
2c. ALL – Legal, Compliance and Risk Responsibilities During Strategic Corporate Transactions (Advanced)
2d. BD – FINRA Regulatory Review (OPEN)
2e. IA/PF - The New SEC Investment Adviser Marketing Rule – What You Need to Know  (Intermediate)
2f.  ALL - LAB - Handling Customer Complaints: It’s Every Firm’s Problem (Intermediate)
2g. ALL - Canadian Compliance Talk Group

Networking Lunch & Business Meeting

Session 3
3a. ALL – Innovation or Disruption?  The Impact of FinTech and RegTech on Compliance Programs  (Intermediate)
3b. ALL – Ethical Best Practices:  Taking Tone at the Top to a Crescendo  (Advanced)
3c. IA/PF - What to Know Before Going Global  (Intermediate)
3d. ALL -  ALL – LAB - How to Detect and Prevent Manipulative Trading (Intermediate)
3e. BD/IA - Dual Registrants - Small Firms Talk Group
3f. BD/IA - Dual Registrants - Medium to Large Firms Talk Group
3g. Pension Funds, Foundations and Endowments Talk Group
3h. BD/IA - Insurance Compliance Talk Group

Session 4
4a. ALL - Financial Forensics (Intermediate)
4b. ALL – Solutions for Small Firms: Doing More with Less (Intermediate)
4c. BD/IA – Protecting Our Most Vulnerable Clients (Basic)
4d. ALL – LAB -Regulatory Exam Preparation (Intermediate)
4e. ALL - Global Financial Crimes Compliance Talk Group
4f. IC - Investment Company Compliance Professionals Talk Group
4g. MA - Best Practices for Municipal Advisors Talk Group
4h. BD - Retail Firms Talk Group

Networking Reception

Nat

November 9, 2021

Please do not use the browser back button at this point, you could duplicate your order. To make changes complete your order or contact NSCP.

General Session - ESG Keynote Panel (OPEN)

Session 5
5a. ALL – The Impact of Digital Assets on Your Compliance Program (Intermediate)
5b. ALL – The Pandemic and Beyond: Overcoming Compliance Challenges in 2021 (Intermediate)
5c. BD - Post Implementation Best Practices for Reg BI  (Intermediate)
5d. IC – Investment Company Issues and Trends  (Advanced)
5e. PF – Advisers Act Compliance for PF Managers:  Beyond Theory, Into Practice (Intermediate) 
5f. ALL – LAB - Delving into Investment Due Diligence (Basic)
5g. BD - Institutional Firms Talk Group

Session 6
6a. ALL – The Business of Workplace Retirement Plans (Basic) 
6b. ALL – Will AI Revolutionize the Financial Services Industry? (Intermediate)
6c. ALL – Diversity, Equity & Inclusion - The Conversation Continues (Intermediate)
6d. BD – Social Media – Compliance Best Practices (Intermediate)
6e. ALL - IA/IC/PF – SEC Enforcement Issues (OPEN) 
6f. ALL - Ethical Decision-Making for Compliance Lab  (Intermediate)
6g. BD/IA - Branch Inspection Talk Group

Networking Lunch

Session 7
7a. ALL – Lessons in Cybersecurity:  Regulatory Expectations (Intermediate)
7b. BD – Effective Oversight Structures for Broker-Dealers (Intermediate)
7c.  IA – The  Impact of  State Rules on Federally Registered Firms (OPEN) (Advanced)
7d. IA/IC/PF – Managing the Challenges and Uncertainty of Pricing and Valuation Practices (Intermediate)
7e. IC – Implementing Your Mutual Fund Compliance Program (Basic)
7f. ALL –  LAB - How to Detect and Prevent Misappropriation (Intermediate)
7g. Diversity, Equity & Inclusion Talk Group

Session 8
8a. IALL – Know Your Vendors:  Third Party Due Diligence, Oversight & Governance (Intermediate)
8b. BD – Best Practices for Dealing with Enforcement Issues  (OPEN)
8c. IA - Understanding the Ever-changing Landscape of Alternative Investments (Advanced)
8d. IA/PF – Managing Compliance and Regulatory Requirements in Europe  (Intermediate)
8e. ALL - When Reporting Compliance Issues Up the Chain Doesn’t Work  (Intermediate)
8f. ALL – LAB - Breaking the Stress Cycle For More Effectiveness Lab (Basic)
8g. Private Funds Issues Talk Group

Networking Reception

November 10, 2021

Session 9
9a. ALL – Managing CCO Liability In Uncertain Times (Intermediate)
9b. ALL - Performing Robust Testing of Policies & Procedures (Intermediate)
9c. BD/IA – Ethics of Managing Personnel Conflicts of Interest – Challenges for Dual Registrants (Intermediate)
9d. IA/PF - Performance Advertising Rules:  Now and Into the Future  (OPEN)

Session 10
10a.  ALL –  Converting Critical Enterprise Risks into a Usable Risk Matrix (Intermediate)
10b.  ALL – Insider Trading Trends and Evolving Compliance Best Practices (Intermediate)
10c.  ALL – ERISA:  Recent Developments and Hot Topics (Intermediate)
10d.  IA – Evolving Custody Responsibilities (Intermediate)





By clicking "Next" below, you are acknowledging that an inherent risk of exposure to COVID-19 exists in any public place where people are present. By attending this event, you and any guests voluntarily assume all risks related to exposure to COVID-19 and agree not to hold NSCP and any of their affiliates, directors, officers, employees, agents, contractors, or volunteers liable for any illness or injury.  NSCP will adhere to current recommendations from the U.S. CDC as well as from the State of Maryland for this event.  As this is a fluid situation, it is possible that face masks may be required for participation.  Current guidelines for the state of Maryland can be found at the following link:  https://governor.maryland.gov/covid-19-pandemic-orders-and-guidance/.  If you would like to learn more on how to stay safe while traveling and attending large gatherings, up to date information can be found by clicking here:  https://www.cdc.gov/coronavirus/2019-ncov/your-health/large-gatherings.html


Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org