Interactive Compliance Labs for BDs & IAs - Dallas
Hands-on labs, small-group discussions, and real-world scenarios.
* Registration open until 5/21/26 at 12:00 AM (CDT)
Join us for a full day of in-person lab sessions designed to provide real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic. Attendees will leave with practical and useful tools to apply in their workspace. Enjoy a networking reception at the end of the day to wind down and connect with other compliance professionals. NSCP Interactive Compliance Labs are a great way to learn, engage and grow in your profession. This event is not available for virtual attendance and is closed to regulators and press.
Registration Options
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Registration Options
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Price |
|---|---|
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NSCP Member
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$425.00 |
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Non-member
Registration Ends 5/21/26 at 12:00 AM CDT
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$595.00 |
Agenda
| June 3 | |
| 8:30 AM - 9:30 AM | Registration, Networking & Breakfast |
| 9:30 AM - 10:45 AM | Reg S-P Amendments/Privacy Controls: Evolving Privacy Regulations (Basic) Complying with the requirements of Amended Regulation S-P requires covered financial institutions to develop protections for safeguarding customers’ personally identifiable information (PII) and creating an incident response program to respond to data breaches in conformance with applicable laws. |
| 10:45 AM - 11:00 AM | Break |
| 11:00 AM - 12:15 PM | Managing Conflicts of Interest in the Firm’s Business Activities (Intermediate) Financial firms face conflicts of interest that extend beyond the typical ones addressed in a Code of Ethics/Code of Conduct. Many firms struggle to identify and manage these conflicts as they are often embedded in the core of a firm’s business activities. |
| 12:15 PM - 1:00 PM | Lunch |
| 1:00 PM - 2:15 PM | Recommending Alternative or Complex Products (Intermediate) Alternative or complex products remain a regulatory focus as they may contain complicated features that could affect investment returns and, potentially, present apparent or actual conflicts of interest. |
| 2:15 PM - 2:30 PM | Break |
| 2:30 PM - 3:45 PM | How to Conduct Compliance Testing (Basic) Effective compliance testing is critical for ensuring regulatory compliance, identifying risks, and strengthening internal controls. This interactive lab will provide a step-by-step approach to designing, executing, and documenting compliance tests that align with regulatory expectations and the industry’s best practices. |
| 3:45 PM - 5:00 PM |
Networking Reception
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REGISTRATION RATES: $425 for NSCP Members / $595 for Non-members
DATE: June 3, 2026 (8:30 AM - 5:00 PM)
CONTINUING EDUCATION:
A Continuing Education (“CE”) Certificate of Attendance will be provided to attendees who participate in this event and verify their attendance through session scanning for each session attended.
Continuing education credit is not guaranteed. Applications for accreditation may be pending at the time of the event, and in certain jurisdictions credit may not be approved or applied until after the event concludes. Credit will be awarded only upon formal approval by the applicable accrediting body and in accordance with that body’s requirements.
NSCP seeks continuing education approval only in the state where the event is held. Attendees licensed in other jurisdictions are responsible for self-applying for credit with their respective licensing or accrediting authority. The Certificate of Attendance, along with the conference agenda and speaker materials, may be used to support this process.
If you are seeking credit for a designation or accrediting body other than CLE or CPE, attendees are solely responsible for submitting their own credit application to the appropriate licensing or accrediting authority. A Certificate of Attendance will be provided to support this process.
Attendees are responsible for confirming credit eligibility with their respective licensing or accrediting authority.
FINANCIAL HARDSHIP POLICY:
As required by various state continuing legal education boards, NSCP has adopted a financial hardship policy applicable to attorneys experiencing financial hardship. For purposes of this policy, financial hardship is defined as an attorney earning less than $75,000 per year. The attorney must provide proof of income and/or attestation of employment status to NSCP. Upon verification, NSCP will provide guidance regarding registration at a reduced rate consistent with the attorney’s status and NSCP policy.
CANCELLATION & REFUND POLICY:
All cancellations, refund requests, and substitution requests must be submitted to NSCP via written notification to conferences@nscp.org.
Registrations are fully refundable (less a 3% processing fee) more than 30 days prior to the first day of the event. After this date, no refunds will be issued; however, the registrant has the option to substitute someone else to attend in their place until 1 week prior to the event start date. After this point, no name changes will be honored.
NEARBY HOTEL OPTIONS: NSCP has not secured a room block for this event. Attendees should make their own hotel accommodations.