2025 NSCP National Conference
Hyatt Regency Grand Cypress
1 Grand Cypress BoulevardOrlando, 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
|
Price |
---|---|
NSCP Industry Member
|
$1,395.00 |
Industry Non-member
|
$1,795.00 |
Group Industry Rate (3 or more)
|
$1,295.00 See QTY Discounts |
Additional Sponsors
Registration Ended 5/22/25 at 11:00 AM EDT
|
$1,395.00 |
Service Providers
|
$2,600.00 |
Government Employee or Regulator
|
$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:
For questions, contact conferences@nscp.org