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.
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
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NSCP :: 22 Kent Road :: Cornwall Bridge, CT 06754 :: 860.672.0843