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2025 NSCP National Conference

Sunday, October 26, 2025 at 2:00 PM (EDT) to Wednesday, October 29, 2025 at 12:30 PM (EDT)

The Conference will be held at:

Hyatt Regency Grand Cypress

1 Grand Cypress Blvd, Orlando, FL 32836

407-239-1234

Standard Group Room Rate: $265.00/night

Room reservations must be made no later than Friday, October 3rd. However, it is advisable to reserve your room early before the room block sells out.

RESERVE HOTEL ROOM AT HYATT REGENCY GRAND CYPRESS

Registration Options

Credits Price
NSCP Industry Member
This industry rate is valid for NSCP members who are not service providers or at law firms. Registration Ends 7/11/25 at 11:55 PM EDT
$1,395.00
Industry Non-member
The Non-member rate includes 1 year free membership to NSCP which will become effective after the National Conference.  *Service Providers (including law firms) are NOT eligible for this rate. Registration Ends 7/11/25 at 11:55 PM EDT
$1,795.00
Group Industry Rate (3 or more)
This discounted group rate is applicable to industry attendees regardless of whether they are NSCP members or not.  This rate is not applicable to service providers, including attorneys.   Registration Ends 7/11/25 at 11:55 PM EDT
$1,295.00 See QTY Discounts
Additional Sponsors
Registration Ended 5/22/25 at 11:00 AM EDT
$1,395.00
Service Providers
This rate is applicable to all service providers, including attorneys, consultants, and outsourced compliance officers. Registration Ends 7/11/25 at 11:55 PM EDT
$2,600.00
Government Employee or Regulator
This rate is applicable for city, state, and federal government employees. Registration Ends 7/11/25 at 11:55 PM EDT
$1,395.00

Agenda

October 26
2:00 PM - 7:00 PM Registration
2:00 PM - 6:30 PM NSCP Give Back Community Activity
5:00 PM - 6:30 PM Welcome Reception
October 27
7:30 AM - 8:30 AM Breakfast
8:30 AM - 9:30 AM NSCP Business Meeting
8:30 AM - 9:30 AM New Attendee / New Member Session
9:30 AM - 9:45 AM Networking Break
9:45 AM - 9:55 AM Welcome & Opening Remarks
9:55 AM - 10:45 AM General Session Keynote
10:45 AM - 11:00 AM Networking Break
11:00 AM - 12:15 PM SESSION 1 ALL – Artificial intelligence on the Rise: Compliance Use Cases for AI 
ALL – Managing Third-Party Relationships
BD/IA – Compliance Issues related to ERISA Covered Plans and IRAs 
ALL (LAB) – Effective Enterprise Risk Mitigation 
BD LAB – Best Practices for Records Management
12:15 PM - 1:15 PM Awards Luncheon: JH Award and Scholarship Award
1:15 PM - 1:30 PM Networking Break
1:30 PM - 2:30 PM SESSION 2 ALL – Behavioral Ethics in Finance 
ALL - Compliance Considerations for Crypto Assets 
IA/PF - Compliance Testing, Surveillance, and the Annual Review 
PF – Compliance Considerations in Reports 
ALL LAB – Managing Conflicts of Interest 
BD LAB – Preparing for BD Regulatory Examinations 
BD/IA - Dual Registrants Talk Group (Med/Large firms)
BD/IA - Dual Registrants Talk Group (Small Firms)
2:30 PM - 2:45 PM Networking Break
2:45 PM - 4:00 PM SESSION 3 ALL – Evolving Privacy Regulations
ALL – Demystifying CRD and IARD
BD/IA - Evaluating Enforcement Risk
IA/PF - The Marketing Rule: Practical Guidance
BD/IA LAB – Protecting Senior/Vulnerable Investors
ALL LAB – Positioning a Compliance Program
ALL - AI & Technology Talk Group
4:00 PM - 5:30 PM Networking Reception
October 28
6:30 AM - 7:00 AM Fun Run (5k) - Optional
7:30 AM - 8:30 AM Breakfast
8:30 AM - 9:30 AM General Session Keynote
9:30 AM - 9:45 AM Networking Break
9:45 AM - 11:00 AM SESSION 4 ALL - Cybersecurity: Safeguarding Against Evolving Threats
BD/IA - Recommending Alternative or Complex Products
IA - Integrating Compliance During M&A Transition
IA/PF - Global Filing and Registration Considerations
ALL LAB - How to Conduct Compliance Testing
ALL Lab - Customer Identification, Enhanced Due Diligence, and Risk Ranking
11:00 AM - 11:30 AM Networking Break
11:30 AM - 12:30 PM SESSION 5 ALL – Examining Ethics
BD – FINRA Regulatory Overview
IA - Custody: How to Comply or Avoid It
PF - Marketing and Sales of Private Fund Interests
BD/IA Lab - Monitoring and Reporting Suspicious Activity 
IA/IC/PF LAB – Preparing for SEC Regulatory Examinations
Pension Funds & Endowments Talk Group
ALL - Advance Your Career in Compliance Talk Group
12:30 PM - 1:30 PM Luncheon
1:30 PM - 1:45 PM Networking Break
1:45 PM - 3:00 PM SESSION 6 ALL - Developing your Compliance Team
BD/IA - Due Care and Investment Advice
IA - Anti-Money Laundering
PF – Conflicts of Interest in the Management of Private Funds
BD LAB – Best Practices for Testing, Supervision, and Surveillance
ALL LAB - Marketing Compliance Lab
3:00 PM - 3:15 PM Networking Break
3:15 PM - 4:30 PM SESSION 7 ALL – Responding to Regulatory Investigations and Inquiries
ALL - “Insider Trading” Hot Topics 
BD/IA – Proactive Supervision
IA/PF – Addressing New & Complex Regulatory Filings
ALL LAB - Financial Health and Forensic Review 
ALL - Small Firm Issues Talk Group
IC – Investment Company Regulation Talk Group
4:30 PM - 5:30 PM Networking Reception
October 29
7:30 AM - 8:30 AM Breakfast
8:30 AM - 9:30 AM General Session - Enforcement Regulatory Panel
9:30 AM - 9:45 AM Networking Break
9:45 AM - 11:00 AM SESSION 8 ALL – Regulatory Implications for Artificial Intelligence
BD/IA – Understanding the Complexities of Insurance Compliance
IA – Effective Supervisory Programs for Firms 
IA/PF – Compliance Challenges with Difficult to Value Securities
ALL LAB – “Reasonable” Procedures to Prevent Misuse of MNPI 
11:00 AM - 12:15 PM Networking Break
11:15 AM - 12:15 PM SESSION 9 ALL - Incident Response Plan: Remediation and Reporting of a Breach 
ALL – Making Complex Products Available to Customers 
BD - Identity Theft: How Reg S-ID & Reg SP Intersect with AML 
IA – Advisory Fee Billing: Risks and Best Practices 
All LAB - Best Practices for Enforcing Codes of Ethics and Conduct