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

Overview
Agenda

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 - 11:15 AM	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 AGENDA

VIEW CONFERENCE SPEAKERS

CONTINUING EDUCATION CREDIT

FAQS / EVENT POLICIES

For questions, contact conferences@nscp.org