The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance officials in the securities industry.
• offers practical and interpretive guidance on compliance-related matters;
• alerts its members to important regulatory developments;
• sponsors educational meetings that serve as forums for exchanging ideas and information;
• provides professional analyses and counsel in regard to securities laws and regulations authorized by the states, federal agencies and the SROs; and
• promotes professionalism among compliance officials within the securities industry.
Thursday, March 13 – San Francisco, CA ::::: Thursday, March 27 – Toronto, Ontario, Canada
Thursday, April 10 – Dallas, Texas ::::: Wednesday, April 23 – Denver, Colorado
Tuesday, April 29 – New York, New York ::::: Thursday, May 8 – Chicago, Illinois
Monday, October 20 – Wed., Oct. 22 – National Meeting
Gaylord National Resort, National Harbor, Maryland
Our 2013 National Meeting materials are now available for purchase!
The 2013 National Meeting Materials include printed materials as well as a link to all electronic materials. The link provides access to all the additional materials not provided in the binder.
Member price: $300 USD :: Nonmember price: $400 USD
For more information about the materials content, please download our brochure to review the agenda and speaking points. Materials can be purchased in our online store.
Essential Compliance Training! - NSCP's newest training modules!
NEW! IA Proxy Voting
This module provides comprehensive help for firms needing to implement proxy voting policies. Included in the 45 pages are sample verbiage for ADV disclosures and policy templates as well as a discussion on the advantages/disadvantages of outsourcing to proxy voting vendors.
Other ECT modules include: IT for Compliance Professionals ::: IA SEC Audit Prep Kit - UPDATED!
Due Diligence on Sub-Adviser, Vendors and New Products
MEMBERS! Don't forget to sign in to receive member pricing! Click here for more information!
NSCP :: 22 Kent Road :: Cornwall Bridge, CT 06754 :: 860.672.0843