NSCP is pleased to offer a suite of Essential Compliance Training modules to assist compliance officers in fulfilling their duties. Navigating the complex and ever-changing world of compliance regulations can be daunting, and our ECT modules ensure that you and your compliance staff receive the training and support you need to meet the challenge. NSCP training modules provide instructional videos, spreadsheets and documents –all by veterans in the compliance field—on six key topics:

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 was well as a discussion on the advantages/disadvantages of outsourcing with proxy voting vendors.The module is available for a member rate of $25. Table of Contents
Module can be purchased in our online store!

ERISA Policies, Procedures and Internal Controls—Incorporate ERISA policies, procedures and internal controls into your compliance system with ease! Sample
$295 members :: $745 non-members
Module can be purchased in our online store!

IA SEC Audit Prep Kit—Preparation is crucial for a favorable audit outcome. This module will help you prepare for an SEC audit and strengthen your compliance system. Sample
$125 members :: $575 non-members
Module can be purchased in our online store!

IT for Compliance Professionals—Receive detailed explanations and schematics on vital areas of IT, including encryption, intrusion detection, cloud storage, and much, much more! Sample
$95 members :: $545 non-members
Module can be purchased in our online store!

Due Diligence on Sub-Adviser, Vendors and New Products—Performing robust due diligence on sub-advisers, vendors and new products is of critical importance to protect customers and your firm. Recently there have been several high-profile failures and subsequent regulatory enforcement actions against firms that performed inadequate due diligence. The problem is, we know due diligence is important but what are we supposed to do? Sample
$195 members :: $645 non-members
Module can be purchased in our online store!

The modules are ideal for individuals inheriting the CCO position, hedge fund professionals whose firm is seeking to register with a regulatory authority, OCOs, Broker-Dealer CCOs whose firms want to register as an Investment Adviser, and CCOs in need of assistance with training for their compliance staff. Let our industry experts provide the assistance you need—try NSCP’s Essential Compliance Training modules today!

Non-member rates include 1 year of NSCP membership

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