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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)

Hyatt Regency Grand Cypress

1 Grand Cypress Boulevard
Orlando, FL 32836
United States

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

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

Links to additional information:

VIEW FULL AGENDA

VIEW CONFERENCE SPEAKERS

CONTINUING EDUCATION CREDIT

FAQS / EVENT POLICIES

For questions, contact conferences@nscp.org