NSCP Currents On Demand
NSCP Currents’ history dates back to the 1980s and we are proud of how it has progressed to the premier compliance publication of the financial services industry today. Since NSCP’s incorporation in 1987, NSCP Currents has evolved in both content and format, yet continues to provide invaluable information to the compliance community. From a paper publication which was mailed to NSCP members, to a digital PDF published through email, NSCP staff, along with members of the Publications Committee, have ensured that NSCP Currents has remained “current."
Continuing its evolution, NSCP Currents articles are now published individually and are available to members on demand. In addition to the high-level articles and resources NSCP members value and expect, NSCP has launched NSCP Currents Live monthly webinars featuring industry hot topics. Recordings of all NSCP Currents Live webinars are published alongside written articles on NSCP Currents On Demand.
Mitigating Compliance Risks in Performance and Asset-Based Fee Arrangements
By Amy Jones and Arin Stancil
Performance fees are an increasingly common way for investment advisers to charge clients for investment management services. By default, these fees are prohibited unless the client is a "qualified client" under SEC Rule 205-3 ... Continue Reading
11-20-2025
What Are Your Thoughts? Why We Never Get the Answers We Need in Business Conversations
By Dr. Shawn Bostic, CFE
There's a familiar moment in a meeting, a presenter leans forward, scanning the faces around the table, and asks, "What are your thoughts?" ... Continue Reading
11-13-2025
NSCP Celebrates... National Career Development Month
Building a Future of Integrity: Celebrating National Career Development Month in Compliance
November marks National Career Development Month , a time to reflect on our professional journeys, recognize the value of continuous growth, and plan for the road ahead. For compliance officers in the financial services industry , this month offers a unique opportunity to spotlight a career path that is both critically important and rapidly evolving. Why Compliance Careers Matter—Now More Than Ever ... Continue Reading
11-06-2025
Scary Compliance Stories and Other Enforcement Actions
By Matthew Rothchild
You are trudging through the woods on a cool, dark, slightly breezy night in late October. Dry leaves rustle underfoot as you think about how you would rather be at the NSCP conference next week. But a local industry peer told you about some guy in the woods who dispensed compliance insights and after a day of marketing reviews, you decided to see if this sylvan oracle was everything he was made out to be. Up ahead in a small clearing, you see a haggard looking man seated ... Continue Reading
10-23-2025
Beyond the Rule: Strengthening Your Code of Ethics Framework for Investment Advisers
By Brian Giue and Lori Weston
For many investment advisers, the SECs Rule 204A-1—commonly known as the Code of Ethics Rule—can feel like an added compliance burden aimed at preventing abuses that are only nominally present based on the adviser’s business model. These advisers may question why they must undertake extensive procedural requirements required by the Code of Ethics Rule. Yet, despite this frustration, the Rule reflects the SEC’s broad mandate to establish uniform standards ... Continue Reading
10-16-2025
Tis the (ADV) Season: 8 Common Headaches & Practical Solutions for Form ADV Updates
By Paul Felsch, JD
Even among the most established investment advisers, administering Form ADV updates can prove particularly painful and vexing. Regardless of size or level of sophistication, investment advisers routinely encounter any one of 8 common challenges when assessing and/or administering Form ADV updates. These common challenges include: making “materiality” determinations; making “prompt” updates to and deliveries of Form ADV upon certain triggering events; ... Continue Reading
10-09-2025
NSCP Celebrates... Cybersecurity Awareness Month
Safeguarding Trust: Celebrating Cybersecurity Awareness Month in Financial Services
Every October, Cybersecurity Awareness Month serves as a vital reminder that cybersecurity is not just an IT issue—it’s a business imperative. For compliance officers in the financial services industry, this month underscores a growing reality: protecting sensitive data and maintaining regulatory integrity is inseparable from managing cyber risk. Why Cybersecurity Matters for Compliance The financial sector ... Continue Reading
10-02-2025
NSCP Celebrates... National Compliance Officer Day
A Day for Us: Reflecting on the Role of Compliance Officers on National Compliance Officer Day
As compliance officers, we don’t often seek the spotlight. Our work is typically done behind the scenes—reviewing policies, monitoring regulations, conducting training, mitigating risk, and ensuring that our organizations stay aligned with the law and committed to doing the right thing. But today, on National Compliance Officer Day, we get a rare opportunity to pause and reflect on the role we play—not ... Continue Reading
09-26-2025
NSCP Currents Live Webinar - "How to do Compliance Testing on BCP"
Featuring Jane Riley, Chief Compliance Officer, The Leaders Group and Allison Fraser, Managing Director, Salus GRC ... View Webinar
09-24-2025
NSCP Currents National Conference Edition 2025
As we count down to the much-anticipated 2025 NSCP National Conference, we’re thrilled to bring you this special edition of NSCP Currents on Demand. The 2025 conference is designed to deliver more than just cutting-edge insights and practical tools for your compliance programs. It’s a celebration of collaboration, innovation, and the enduring strength of our community. Whether you’re a longtime member or a first-time attendee, this is your opportunity to connect, learn, and grow alongside peers ... DOWNLOAD FULL EDITION
09-18-2025
Annual Review Detective
By Matthew Rothchild
The sky was clearing and the sun coming out, as always after rain. The petrichor filled my nostrils as I returned to my office. I didn’t have time for basking in the rich olfactory glories of my gritty neighborhood, I had a case. Chapter One: My Assignment She arrived to my office shortly after me, I’d hardly had time to remove my hat and jacket and take a seat at my desk when she walked in. “You must be who called me earlier,” I deadpanned. “Yes,” she said. ... Continue Reading
09-18-2025
Crypto in 2025: Navigating the Path of Digital Asset Regulation
By Kristin Prieur
The digital asset market has long operated in a regulatory gray area. Since their emergence, regulators have grappled with defining what constitutes a digital asset, determining whether such assets qualify as “securities,” and creating a coherent regulatory framework to govern them. These unresolved questions have fueled ongoing debates among policymakers and prompted evolving guidance from multiple regulatory bodies. While slight progress has been made since the emergence of ... Continue Reading
09-11-2025
NSCP Submits Proposal for an SEC Compliance Advisory Committee
On August 21, NSCP submitted a proposal to SEC Chair Paul Atkins for an SEC Compliance Advisory Committee. NSCP’s cover letter describes the value of the committee to the SEC and to financial services compliance professionals, while the proposal outlines the framework for the committee. We would like to thank the Financial Services Institute, the Investment Adviser Association, and the Insured Retirement Institute for their support of the proposal. NSCP will provide updates on the proposal as ... Continue Reading
09-04-2025
NSCP Celebrates... National Preparedness Month
Building Resilience from the Inside Out
Every September, the United States observes National Preparedness Month , a nationwide campaign to promote readiness for emergencies and disruptions. While the initiative often centers on natural disasters and public safety, it’s also an ideal moment for industries—especially financial services—to reflect on how prepared they are for the unexpected. For compliance officers , preparedness is more than a theme—it’s a core function. It underpins the systems, ... Continue Reading
09-04-2025
NSCP Currents Live Webinar - "Challenges with Emerging Technology"
Featuring Ranah Esmaili, Partner, Sidley Austin LLP, Patricia Flynn, Vice President, Compliance, Prudential Financial Inc., and Som Mohapatra, Founder and COO, Hadrius ... View Webinar
08-27-2025
Preparing for Regulation S-P: Considerations for Drafting Policies and Procedures
By Amber Allen and Craig Watanabe
Compliance Dates for the Amendments to Regulation S-P
Covered Institutions[1] are required to adopt the amended Regulation S-P (the “Amendments”) program by December 3, 2025, for larger entities ( e.g ., registered investment advisers with $1.5 billion or more in assets under management, investment companies with over $1 billion in assets or more, and broker-dealers and transfer agents that are not small entities under the Securities Exchange Act for purposes ... Continue Reading
08-21-2025
Managing Insider Trading Risks
By Thomas G. Kennedy, Esq.
Insider trading is the practice of trading securities by persons in possession of material, non-public information (“MNPI”) about such securities. Material information has been described by the U.S. Securities and Exchange Commission (“SEC”) as information that a reasonable investor would consider important in making his or her investment decisions, or information that is reasonably certain to have a substantial effect on the price of a company’s securities. Information ... Continue Reading
08-14-2025
NSCP Celebrates... National Wellness Month
Prioritizing Wellness in Compliance
August marks National Wellness Month, a timely reminder for professionals across all industries to refocus on health, mindfulness, and self-care. For compliance officers in the financial services industry—who often work under immense pressure, navigating complex regulations and managing risk—this observance offers an opportunity not just to reflect, but to reset. ... Continue Reading
08-07-2025
NSCP Currents Live Webinar - "Discover NEW Firm Efficiencies on the FINRA Gateway (IARD, CRD)"
Featuring Noah Egorin, Senior Director, Product Management, FINRA, Lisa Paygane, Vice President and Director of Registration Services, Renaissance Regulatory Services, and Jennifer Szaro, CRCP, CCO, XML Securities, LLC ... View Webinar
07-30-2025
Maintaining a Robust Due Diligence Program for Complex Products Under the Care Obligation of Regulation Best Interest
By Miriam Lefkowitz
When the NASD was first created in 1939, it included an inherent suitability obligation in its initial rules. Over time, the breadth of the rule expanded and evolved into 3 distinct components – reasonable basis suitability, customer-specific suitability, and quantitative suitability. The NASD and its successor FINRA issued extensive regulatory guidance as to how these obligations, particularly the first of these three, apply to the ever-increasing shelf of securities being ... Continue Reading
07-24-2025
The Future of Know Your Customer ("KYC") - Digital Verification
By Melissa Starr and Craig Watanabe
What is KYC Verification
Know Your Customer (“KYC”) verification is the process of confirming a client’s identity to prevent illegal activities such as money laundering or fraud. KYC is a required element of an anti-money laundering (“AML”) program. Additional articles can be found in the Currents library [1]. Most firms have encountered various types of fraudulent attempts, such as changed wire instructions or a distribution request, through a client’s ... Continue Reading
07-17-2025
The Overconfident Climber: Dunning-Kruger, the Peter Principle, and the Perils of Misguided Compliance Leadership
By James Clements MSOM
In today’s regulatory landscape, the effectiveness of a compliance function is heavily dependent on the quality and integrity of the individuals leading it. Compliance officers are tasked with interpreting complex regulations, advising management, and ensuring that the organization operates within legal and ethical boundaries. However, when a compliance officer overestimates their own competence, a hallmark of the Dunning-Kruger effect, and aggressively pursues promotion, the organization may unwittingly elevate an individual ill-equipped for leadership. If the corporate culture rewards ... Continue Reading
07-10-2025
NSCP Celebrates... Disability Pride Month
By Shannon Bean
In July of 1990, the United States passed the Americans with Disabilities Act, which is a civil rights law that prohibits discrimination based on disability. In honor of the passage of that ground-breaking law, Disability Pride month is now celebrated every July in the United States, as well as throughout much of the world. Disability affects 1 in 4 adults in the United States. While many think of disability as a medical diagnosis, disability can and does often become part ... Continue Reading
07-02-2025
Regulatory Filing Requirements for “Institutional Investment Managers” Arising Under the Exchange Act
By Miriam Lefkowitz
All federally registered investment advisers (“RIAs”) know, at some level, that they must file a Form ADV – as they could not be registered had they not filed one to begin with. Based on a review of 11 SEC enforcement cases announced in September 2024, however, it seems that a number of RIAs may have neglected other periodic filing requirements, some of more than a decade.[1] These reporting requirements arise under the Securities Exchange Act of 1934 (“Exchange Act”), rather ... Continue Reading
06-26-2025
NSCP Currents Live Webinar - "Preparing for a Regulatory Exam"
Featuring Kristin A Snyder, Partner, Debevoise & Plimpton, Karen Steighner, CEO, Compliance Advisers, Inc, and KC Waldron, CCO, Empower ... View Webinar
06-25-2025
NSCP Celebrates... Juneteenth
Juneteenth, observed annually on June 19, commemorates the end of slavery in the United States. It marks the day in 1865 when Union troops arrived in Galveston, Texas, and finally informed enslaved African Americans of their freedom—more than two years after the Emancipation Proclamation had been signed. Known over the years as Jubilee Day, Freedom Day, or Emancipation Day, Juneteenth has long been celebrated by African American communities as a moment of reflection, resilience, and joy. In 2021, Juneteenth became a federal holiday, cementing its importance as a national recognition... Continue Reading
06-18-2025
Risks a CCO May Encounter Beyond the Compliance Program – Perspectives from a Chief Compliance Officer
By Elizabeth Hansen
Exploring Key Areas of Concern
Chief Compliance Officers (CCOs) in the financial services industry bear a multitude of risks that extend beyond their firms’ compliance program. Various activities and situations can amplify these risks, necessitating vigilance and proactive measures from CCOs. This article explores three critical areas that may exacerbate the risks for the Chief Compliance Officer. Furthermore, distinctions have been made between references to the CCO and ... Continue Reading
06-12-2025
NSCP Comment Letter FINRA Regulatory Notice 25-04 - May 27, 2025
The National Society of Compliance Professionals (“NSCP”) submits this letter in response to the request by FINRA in Regulatory Notice 25-04 for comments related to FINRA’s efforts to modernize its rules. We appreciate this opportunity to provide feedback as well as FINRA’s past efforts to seek stakeholder input to help shape or reshape its rules under which FINRA-member broker-dealers must operate. ... Continue Reading
06-05-2025
NSCP Currents Live Webinar - "Navigating the Evolving Cyber Landscape and Regluation S-P"
Featuring Amber M. Allen, Counsel, Eversheds Sutherland (US) LLP, Bryan Smith, SVP - Complex Investigations and Intelligence (CII), FINRA, and Pam Gelormini, VP, Sr. Director and Privacy Officer, MFS Investment Management .... View Webinar
05-28-2025
How to Implement an IA AML Program
By Melissa Starr and Craig Watanabe
The Regulatory Imperative
The FinCEN Anti-Money Laundering (“AML”) rule for investment advisers (“IAs”) and exempt reporting advisers has a compliance date of January 01, 2026. In the final rule, FinCEN stated it would separately propose Customer Identification Program (“CIP”) and Customer Due Diligence (“CDD”) rules. The CIP rule was proposed jointly with the SEC on May 21, 2024, and is still pending, subject to a regulatory freeze. FinCEN has not .... Continue Reading
05-22-2025
NSCP Celebrates… Asian American & Pacific Islander Heritage Month and Mental Health Awareness Month
Asian American and Pacific Islander Heritage Month
This May, NSCP recognizes the many contributions of Asian Americans and Pacific Islander Americans. While you are busy organizing your compliance files, why not check out some of these great resources in celebration of this community! NSCP is also proud to highlight SEC Commissioner, Mark T. Uyeda, as one Asian Pacific American role model blazing trails in financial services regulation. Commissioner Uyeda joined the SEC in 2006, serving .... Continue Reading
05-08-2025
NSCP Currents Live Webinar - “Crypto: A New Hope for Compliance Professionals”
Featuring Sam Callahan, Vice President, Battery Finance, Iqan Fadaei, Associate, Michael Best & Friedrich LLP, and Owen Rapaport, Former Executive Director, StarCompliance ... View Webinar
05-01-2025
Understanding the GIPS® Standards Guidance Statement for OCIO Portfolios
By Janice Kitzman, Natalia Taylor, and Omkar Bhapkar
The investment world is always evolving, and with it, the need for compliance oversight and standardized guidance to evolve as well. This article will provide an overview of which portfolios are and aren’t covered by the new Global Investment Performance Standards (GIPS®) Guidance Statement for Outsourced Chief Investment Officer (OCIO) Portfolios. Many of the OCIO challenges ring true for retail wealth managers, but this guidance statement .... Continue Reading
04-24-2025
SEC Staff Issues New FAQs on the Marketing Rule, Providing Investment Advisers with Flexibility and Clarity
By Issa Hanna and Jose Gerez
On March 19, 2025, the Securities and Exchange Commission’s (the “SEC”) Division of Investment Management staff (the “Staff”) issued two new Frequently Asked Questions (“FAQs”) focused on Rule 206(4)-1 under the Investment Advisers Act of 1940, as amended (the “Advisers Act”) (the “Marketing Rule”). [1] The FAQs focus on two specific areas: (1) the display of the gross performance of an extract in an advertisement without including corresponding net performance of the extract; and (2) the presentation in an advertisement of one or more gross characteristics of a portfolio or investment that does not include .... Continue Reading
04-17-2025
Trade Surveillance in Perspective
By Jeremy Dela Cruz and Craig Watanabe
“You get what you inspect, not what you expect.” – Louis V. Gerstner Jr., former CEO of IBM
Beyond lofty expectations, upholding standards of care and conduct requires ongoing inspection and verification, especially in capital markets. The standard compliance objective is “creating a reasonably designed compliance program to prevent, detect, and correct securities violations.” An alternative formulation would be: “to create a compliance .... Continue Reading
04-10-2025
NSCP Celebrates... National Volunteer Month
In honor of National Volunteer Month, NSCP would like to thank all of our volunteers! We greatly appreciate you taking the time to share your invaluable expertise and experience with your fellow NSCP members. Your volunteer efforts not only benefit the NSCP community, but the entire compliance industry as a whole. Thank You 2025 NSCP Volunteers! .... Continue Reading
04-03-2025
FINRA in 2024: Cinderella or Top Dog? An analysis of FINRA’s disciplinary actions
By Brian Rubin, Adam Pollet, and Amanda Oliveira
Coach Norman Dale: If you put your effort and concentration into playing to your potential, to be the best that you can be...
Securities fans may disagree with Coach Dale. Every spring, securities lawyers and compliance professionals keep their eyes peeled... Continue Reading
03-27-2025
NSCP Currents Live Webinar - “You’ve Identified Possible Financial Exploitation of Your Client – Now What?”
Featuring Tara Ambrose, VP, Client Risk Prevention, RBC Wealth Management... View Webinar
03-26-2025
Meeting Goals
The Compliance Professionals at NSCP hope to engage in a dialogue with FINRA’s Examination Management with the purpose of better understanding each other’s objectives, advancing our shared goals and acknowledging the challenges each other face in achieving those goals. We hope that this is not the end of the conversation, but the beginning of a collaborative dialogue. Continue Reading
03-20-2025
By Ana Petrovic, Rose Kaufman, and Kiran Krishnan
As investment adviser (IA) compliance teams dive headfirst into the 2025 compliance season for Form ADV updates and custody audits, there is no better time to revisit the rule that keeps resurfacing on the U.S. Securities and Exchange Commission’s (SEC) radar – Rule 206(4)-2 of the Investment Advisers Act of 1940, as amended (Advisers Act) – commonly referred to as the Custody Rule... Continue Reading
03-13-2025
March is Women’s History Month, a time to recognize and honor the countless achievements and contributions of women throughout history. It’s a month dedicated to reflecting on the trailblazing women who have shaped our world, as well as those who continue to inspire and challenge the status quo today... Continue Reading
03-06-2025
By Brian Rubin
On Friday, January 17, 2025, near the end of Chair Gary Gensler’s tenure, the Securities and Exchange Commission brought about 20 enforcement actions, including two notable cases against dually registered firms for their cash sweep programs... Continue Reading
02-27-2025
Featuring Gwen Williamson, Partner, Faegre Drinker Biddle & Reath LLP and Scott Bennewitz, CCO/CFO... View Webinar
02-26-2025
By Michael Cocanower
With the SEC’s announcement of rule amendments to Regulation S-P which became effective August 2, 2024, the clock began ticking toward a compliance deadline of December 3, 2025 for large firms (1.5B+ AUM)... Continue Reading
02-20-2025
By Paul Felsch, JD
EXECUTIVE SUMMARY Outsourcing of key services continues to be on the rise, with some 2024 studies showing that certain market registrants plan to increase the level of outsourcing between 25% and 50% over the next three years... Continue Reading
02-13-2025
By Takesha Pollock
Black History Month is a time to honor and celebrate the achievements and contributions of African Americans. Although officially recognized in the month of February, NSCP celebrates the countless achievements and contributions of African Americans all year round... Continue Reading
02-06-2025
Featuring Brad Busscher, Chief Administrative Officer and General Counsel, Insperex; Bridghet Donato, Chief Compliance Officer, Peaceable Street Capital; and Daniel Kahl, Partner, Investment Funds Practice Group, Kirkland & Ellis LLP... View Webinar
01-30-2025
By Robert Tull CPA CFE CCEP CSCP FRM CPC
The SEC’s 2025 Examination Priorities highlight the staff’s focus on the effectiveness of adviser compliance programs... Continue Reading
01-23-2025
Featuring NSCP Board Chair, Patrick Hayes, NSCP Executive Director, Lisa Crossley and NSCP COO/Deputy Executive Director, Melissa Loner ... View Webinar
01-16-2025
By Brian Rubin and Max Miseyko
The answer, my friend, is blowin’ in the wind. The answer is blowin’ in the wind. – Bob Dylan
Regulators at both the SEC and FINRA have stated that they rarely charge CCOs for compliance failures, so when they do, it sends shockwaves... Continue Reading
01-09-2025
By Lauri London
The SEC recently fined GQG Partners, a Florida based investment adviser, $500,000 for language in agreements that didn’t provide Whistleblower protection... Continue Reading
01-02-2025
Featuring Patrick Gushue, Acting Director, Corporate Whistleblower Awards (CWA) Pilot Program, DOJ and Lisa Colone, Chair, Securities Enforcement, CSG Law... View Webinar
12-12-2024
By Ethan Corey and Clifford Kirsch
On July 26, 2023, the SEC issued a release proposing a sweeping set of rules that would regulate the use of AI by SEC-registered investment advisers... Continue Reading
12-05-2024
By Jeremy McCamic
On September 9, 2024, the SEC announced settled charges against nine registered investment advisers for violations of Rule 206(4)-1... Continue Reading
11-27-2024
Featuring Jeff Gearhart, Susan Light, and Daniel Wright... View Webinar
11-21-2024
By Anna Schnitkey
As the new year approaches, now is a crucial time of year for investment advisers to ensure that their compliance programs are up to speed... Continue Reading
11-14-2024
By Takesha Pollock
November marks Native American Heritage Month, a time to recognize and celebrate the rich history, culture, and contributions of Native Americans... Continue Reading
11-07-2024
By Paul Felsch
With the ever-increasing fervor around the use if AI/GenAI, several colleagues have shared with me over the past several weeks... Continue Reading
10-31-2024
By Michelle L. Jacko
Effective November 13, 2000, the U.S. SEC adopted Regulation S-P to manage the use and protection of consumer non-public data by financial institutions... Continue Reading
10-24-2024
By Ted McCutcheon, Shawn Bostic and Melissa Starr
Many organizations don’t focus enough on junior officers’ development. This deficiency not only impacts performance, but also retention... Continue Reading
10-17-2024
By Madison Dewey
As cyber criminals have become more advanced, authentication has emerged as a safeguard to protect systems and users against threats... Continue Reading
10-10-2024
By Takesha Pollock
October is a significant month for LGBTQ+ History and National Disability Employment Awareness. These observances reflect the progress, challenges, and contributions of two vital communities within our society... Continue Reading
10-03-2024
Featuring Takesha Pollock, Kona Mann, and Issa Hanna ... View Webinar
09-25-2024
By Craig Watanabe
Hackers are constantly evolving and cyberattacks are becoming more sophisticated. Until recently, email accounts secured with two-factor authentication (“2FA”) were very secure. Unfortunately, this is no longer the case... Continue Reading
09-19-2024
By Kim Cash and Janice Kitzman
In the weeks since the U.S. Fifth Circuit of Appeals struck down the SEC’s Private Fund Advisors Rule (PFAR)... Continue Reading
09-12-2024
NSCP recognizes the many contributions of Hispanic and Latinx Americans during this annual celebration... Continue Reading
09-05-2024
Featuring Chad Nichols, Bart Layton, Kelly Kosciuszka, and others... View Webinar
08-28-2024
By Brian Rubin and Joseph Szczesny
If you think about it, Walter White, the star of the 16-time Emmy award-winning drama series Breaking Bad, was similar in a lot of ways to individual representatives who were sanctioned by the Securities and Exchange Commission (SEC) and FINRA. They all (presumably) started out with a desire to do the right thing... Continue Reading
08-22-2024
As we eagerly approach our much-anticipated 2024 NSCP National Conference, we are happy to present to you this special edition of NSCP Currents... Continue Reading
08-15-2024
By Craig Watanabe
There is great utility for a compliance program to look at risks from different angles and through different lenses. The concept of risk is well studied by academics and others in diverse fields such as management and even politics... Continue Reading
08-08-2024
By Adam Schaub
An often-asked question about the use of Artificial Intelligence (“AI”) is “Will it take my job?” In 2022 Elon Musk announced a humanoid robot named Optimus intended to replace humans in jobs that are considered dangerous or where there are labor shortages... Continue Reading
08-01-2024
Featuring India Williams, Partner and Co-Chair, ESG Risk and Investigations, Katten Muchin Rosenman LLP, Josh Jones, Chief Compliance Officer, Vulcan Value Partners, and Justin McGuffee, Compliance Officer, AVP, MFS Investment Management... View Webinar
07-24-2024
By Brian Rubin
If you are new to securities compliance, your head sometimes spins: What is an RIA v. an IAR v. an IRA v. an AIR? (We made up the latter.) And is “IRA” pronounced “eye” “are” “aaayyy”... Continue Reading
07-18-2024
By Melissa Starr and Craig Watanabe
As is often the case in compliance, laws enacted by Congress lead to rules enacted by regulators, which in turn leads to firms implementing policies and procedures... Continue Reading
07-11-2024
By Patrick Hayes
As I reflect on my first couple months as the NSCP Board Chair, I am humbled by the outpouring of support from the Staff, the Board of Directors, and the entire NSCP membership... Continue Reading
07-09-2024
By Shannon Bean
In July of 1990, the United States passed the Americans with Disabilities Act, which is a civil rights law that prohibits discrimination based on disability... Continue Reading
07-03-2024
By Marc Gilman and Aakash Alurkar
For the compliance officers operating in this golden age of collaboration applications, it is crucial to stay informed about the emerging feature sets of platforms like Zoom, Slack, Webex, and Microsoft Teams... Continue Reading
06-27-2024
Featuring Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, Insured Retirement Institute (“IRI”), David Kaleda, Principal, Groom Law Group, and Jane Riley, Chief Compliance Officer, The Leaders Group... View Webinar
06-25-2024
By Craig Watanabe
“Fiduciary” has multiple definitions. The one most of us are familiar with is the common law fiduciary, which applies to registered investment advisers... Continue Reading
06-20-2024
By Christopher J. Kelly and Miriam Lefkowitz
Compliance professionals frequently incorporate interpretive guidance issued by SEC and FINRA Staff as they develop and maintain their compliance programs... Continue Reading
06-13-2024
By Shannon Bean
All across the country, June is celebrated as Pride Month, and NSCP is proud to be a participant in that celebration... Continue Reading
06-06-2024
By Fred Reish
The Department of Labor (DOL) has issued its final regulation defining fiduciary advice together with related exemptions... Continue Reading
05-30-2024
Featuring Pete Driscoll, Liz Legacy, and Paul Tyrell
Featuring Pete Driscoll, Partner, PwC, Liz Legacy, Executive Director, CCO – CUSO SPF, Atria Wealth, and Paul Tyrell, Partner, Sidley Austin LLP ... View Webinar
05-22-2024
By Craig Watanabe and Ryan Smith
On January 11, 2024, the SEC approved 11 spot Bitcoin ETFs for trading. Importantly, these spot Bitcoin ETFs will own Bitcoin directly... Continue Reading
05-16-2024
By Melissa Starr, Jane Riley, Craig Watanabe and Miriam Lefkowitz
Have you ever had to explain what we do as Compliance Officers to someone who knows little to nothing about compliance? Continue Reading
05-09-2024
By Takesha Pollock
In our collective journey towards progress and inclusivity, it’s imperative to acknowledge and celebrate the rich tapestry of contributions made by the Asian American and Pacific Islander (AAPI) community... ... Continue Reading
05-02-2024
Featuring Jerry Danielson, Andrew Mount, and Jennifer Szaro
Featuring Jerry Danielson, Assistant Vice President Field Audit, Lincoln Financial Group Distribution, Andrew Mount, Senior Associate, Eversheds Sutherland (US) LLP, and Jennifer Szaro, Chief Compliance Officer, XML Financial Group... ... View Webinar
04-25-2024
By Andrew T. Mount and Erin Preston
The COVID-19 pandemic changed how broker-dealers serve customers and supervise associated persons... ... Continue Reading
04-18-2024
By Melissa Starr and Craig Watanabe
The USA PATRIOT ACT of 2001 was passed by Congress following the wake of the terrorist attacks on September 11, 2001... ... Continue Reading
04-11-2024
Featuring Genna Garver, Igor Rozenblit, and Scott Weisman
Featuring Genna Garver, Partner, Troutman Pepper; Igor Rozenblit, Managing Partner, Iron Road Partners; and Scott Weisman, Partner, CCO, Senior Regulatory Counsel, Bain Capital, Boston Office... ... View Webinar
03-27-2024
By Christopher J. Kelly
A little-known provision of Regulation SHO is getting increased attention from regulators. Recently, regulators have signaled that they will be taking a close look at broker-dealers’ invocation of the so-called “bona fide market-maker” exception... ... Continue Reading
03-21-2024
By Craig Watanabe
The Body of Knowledge for Leadership and Management... This article will offer practical suggestions on how to apply sound leadership and management concepts specifically to managing a Compliance Department... ... Continue Reading
03-14-2024
By Takesha Pollock
Since 1995, March has been designated as Women’s History Month. Women’s History Month gives us the opportunity to formally celebrate the women who have paved the way for future women leaders in our industry... ... Continue Reading
03-07-2024
Featuring Myles Blechner, Kim Chapman, and Patricia (“Trish”) Flynn ... View Webinar
02-28-2024
By Jessica LeBlanc
In January 2024, the Financial Industry Regulatory Authority (FINRA) and the MSRB filed their proposals with the SEC to decrease the time to report fixed income securities transactions from fifteen minutes to one... ... Continue Reading
02-22-2024
By Brett Lassoff
It was early in my career as a financial exploitation compliance professional, and I was on a conference call with a 94-year-old life insurance policyholder and various children and grandchildren... ... Continue Reading
02-15-2024
By Jocelin Martinez
As a compliance professional, you’re responsible for disseminating important regulatory information via training sessions and presentations... ... Continue Reading
02-08-2024
By Takesha Pollock
Black History Month is a time to honor and celebrate the achievements and contributions of African Americans... ... Continue Reading
02-01-2024
Featuring Patrick Hayes, Rosa Licea-Mailloux, and Brian Rubin... ... View Webinar
01-24-2024
By Janice Powell and Craig Watanabe
What is the biggest hurdle to your compliance program? How do you incorporate changes to the program?... ... Continue Reading
01-18-2024
By Amber Allen, Cameron Funderburk and Manning Peeler
Developing a Diversity, Equity and Inclusion (“DEI”) program at your organization can have many substantial benefits... ... Continue Reading
01-11-2024
By Melissa Loner
As we move into the New Year, I want to celebrate some of the accomplishments we’ve had and give a glimpse of what to look forward to... ... Continue Reading
01-05-2024
By Jeff Blumberg
Those of you who were able to join us at the 2023 National Conference in Dallas have already heard some of this over lunch... ... Continue Reading
01-04-2024
