NEW Canadian Compliance Roundtable

Join the National Society of Compliance Professionals for its inaugural Canadian Compliance Roundtable meeting intended for compliance professionals whose firms are registered in both Canada and the United States. Facilitated by leading industry practitioners, the roundtable will provide in-depth discussion on critically important U.S. regulations and practical applications to assist participants with their compliance programs.

DOL Virtual Roundtable

Are you still having questions and concerns regarding your firm’s implementation of the DOL Fiduciary Rule? Afraid your firm will meet the April 2017 compliance deadline date but with uncertainty that it is not fully compliant with the rule?

Save the Date – 2017 NSCP National Conference

October 16 – 18, 2017 :: Washington, D.C. :: Omni Shoreham Hotel
The NSCP National Conference offers unique educational opportunities to further the professional growth of compliance professionals:

Broker-Dealers :: Investment Advisers :: Investment Companies :: Municipal Advisors :: Private Funds

Our workshops, labs, and forum discussions are led by experienced industry veterans sharing the practical implementation of compliance policies and procedures.

Membership gives you access

The premier provider of compliance resources for the financial services industry.


“As a professional organization, NSCP offers its members the opportunity through education and networking to develop their professional goals.  Whether you are new to the compliance profession, a seasoned compliance professional or a service provider, there is a place for you at NSCP.”

Lisa D. Crossley
Executive Director