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Current Webinars
CFTC/NFA Regulations for Private Funds – What You Need to Know
Who should attend this session?
• Hedge Funds
• Family Offices
• Foreign Advisors with US clients
• Fund of Funds
Speakers:
Daniel Driscoll is the COO of the National Futures Association.
Dianne Mattioli is the Chief Compliance Officer of EIM Management (USA) Inc, a fund of funds registered with the SEC and NFA.
Jeff Blumberg is a partner at Fox, Hefter, Swibel, Levin & Carroll, LLP, specializing in investment management law and a member of the firm's Corporate and Securities practice.
Cary J. Meer is a partner in K&L Gates' Washington, D.C. office and a member of the Investment Management practice group.
Adam J. Reback is the Chief Compliance Officer of J. Goldman & Co., L.P. NY, NY
Daniel S. Konar is an Associate with Skadden, Arps, Slate, Meagher & Flom LLP.
Jennifer Wu Han is MFA’s Associate General Counsel and a former Regulator with the SEC.
Date: April 30, 2012
Time: 1:30 - 6:30 PM EST
Pricing:
NSCP Members:: $295.00
Non-Members :: $350.00
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Past Webinars
New Broker-Dealer Suitability Rules
We will discuss:
• What’s a "reasonable basis"
• What’s a "recommendation"
• What are the "essential facts" – new "profile requirements.
• The Three Duties – their "sub-duties" and pitfalls
•Document and Proving Compliance Speakers:
Thomas K. Potter III, partner in Burr & Forman's Business Litigation practice,
and Managing Partner of its Nashville office
Peter von Maur,Director and Senior Counsel in the Law Group of RBC Capital Markets, LLC
Date: March 22, 2012
Time: 3:00 - 4:00 PM EST
Pricing:
NSCP Members:: $60.00
Non-Members :: $120.00
The Do's and Don'ts of Performance Advertising
We will discuss:
• Advertising Regulation
• TCW No-Action Letter on Past Specific Performance
• Latest GIPS Developments
• How to Author Effective Risk Disclosures
• Addressing Style Drift & Market Conditions with Performance Returns
Speakers:
Michelle L. Jacko, CSCP, Founder and CEO - Core Compliance & Legal Services, Inc.
Deborah A. Lamb, CSCP, Chief Compliance Officer - McKinley Capital Management, LLC
Date: January 18, 2012
Time: 2:30 - 3:30 PM EST
Pricing:
NSCP Members:: $60.00
Non-Members :: $120.00
The SEC's Whistleblower Bounty Program: Best Practices for Compliance and Investigations
We will discuss:
• Who can qualify as a whistleblower under the SEC’s new rules and
what must that person provide?
• How should a company or a financial services firm respond to a whistleblower?
• What compliance procedures should be implemented in response to the
SEC’s rules?
• How should internal investigations be tailored in light of the new rules?
• How should small firms approach the new rule.
Speakers:
Bradley J. Bondi, Cadwalader, Wickersham & Taft LLP
David H. Lui, Galliard Capital Management
Kenneth M. Cherrier, Waddell & Reed, Inc.
Date: 12/1/11
Time: 2pm to 3pm Eastern
Price: $60 for NSCP members, $120 for non-members
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Broker Dealer Trading Practices
We will discuss:
• Following a trade from start to finish (entry to clearance)
• Understanding the trading process
• Trade reporting and OATs
• Order handling and trading systems
• Risk in the Back Office and Clearing
Speakers:
Richard Wallace, Foley & Lardner LLP
Wesley L. Ringo, J.J.B. Hilliard, W.L. Lyons, LLC
James Downing, JPMorgan Chase
Date: 12/6/11
Time: 2pm to 3pm Eastern
Price: $60 for NSCP members, $120 for non-members
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Detecting and Preventing Financial Fraud
We will discuss:
• Things that Certified Fraud Examiners Know That You Should, Too
• Recent enforcement actions which identify an expanding application
of fraud by regulators
• How firms can identify their areas of greatest risk for fraudulent activity
• Techniques for detecting insider trading, market manipulation, rumor
mongering, etc.
• When and how to conduct internal investigations into suspected
non-compliant or fraudulent activity
• Important components of an effective fraud prevention program
• Ethical considerations in conducting fraud investigations
Speakers:
Mark T. Carberry, Schuyler, Roche & Crisham
Miriam Lefkowitz, Shufro, Rose & Co.
Tracy K. Webb, CSCP, Office of the New York State Comptroller
Date: 12/7/11
Time: 2pm to 3:15pm Eastern
Price: $60 for NSCP members, $120 for non-members
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Social Media Monitoring and Archiving Solutions for the Financial
Services Compliance Professional (no link yet)
We will discuss:
• Regulatory requirements for monitoring and archiving social media
• Manual solutions versus technological solutions
• Application Programming Interface versus Proxy technology
• Considerations in performing vendor due diligence
Speakers:
Blane Warrene, Arkovi
Mark H. Nicholas, Cetera Financial Group
Craig R. Watanabe, CSCP, Penniall & Associates, Inc.
Date: 12/8/11
Time: 1pm to 2pm Eastern
Price: $60 for NSCP members, $120 for non-members
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Cloud Computing - What Every Chief Compliance Officer Needs to Know (no link yet)
We will discuss:
• What is Cloud Computing?
• Advantages / Disadvantages of storing data in the cloud or using cloud services
• Books and Records requirements
• Due Diligence on Vendors
• Data Security and Backups
• Five "Must-Do" Compliance Action Items
Speakers:
Stephen Pope, Red Oak Compliance Solutions LLC
David Colon, Lincoln Financial Group
Steven Trigili, Garden State Securities
Date: 12/13/11
Time: 2pm to 3pm Eastern
Price: $60 for NSCP members, $120 for non-members
Click to read more about this offering.
Key Social Media Issues for the Financial Services Compliance Professional
Social Media is fundamentally changing the way people communicate. And yet, for a variety of reasons, the financial services industry has been slow to adopt social media as a communication tool. There are several fundamental problems associated with our industry’s reticence in using social media.
We will discuss:
1. Discuss why a strong business argument is essential to solving the social media conundrum
2. Discuss practical and compliant entry points into the social media arena
3. Key concepts from FINRA Regulatory Notice 10-06 and other regulatory statements
4. Explore how social media may be viewed by regulators other than FINRA
5. Why any ROI discussion must include “soft” benefits, and make allowances for learning
Speakers:
Stephen Selby, Director of Regulatory Services at LIMRA
Mark H. Nicholas, Counsel with ING US Legal Services
Date: 6/29/11
Time: 1pm to 2pm Eastern
Price: $60 for NSCP members, $120 for non-members
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Soft Dollars in the United Kingdom and Europe
Soft dollars continue to be an area of focus for regulators and institutional investors at the global level. Both the FSA and the EU have been focused in the last decade on the area and have issued guidance. In its last major revision of the US soft dollar safe harbor, the SEC noted soft dollar regulatory developments outside of the US in its analysis. With the renewed focus on conflicts for investment advisers in recent years, it has become critical to review and reassess compliance in this area, focused on both the arrangements and related disclosures to investors. Both the regulatory guidance and actual market practice will be discussed. This is an important topic for both advisers and the brokers involved in these arrangements who face liabilities for compliance failures.
Speakers:
Margaret R.A. Paradis, Morris, Manning & Martin, LLP.
Christopher J. Mahon, AllianceBernstein
Date: 7/20/11
Time: 2pm to 3pm Eastern
Price: $60 for NSCP members, $120 for non-members
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