Interactive Compliance Labs for BDs & IAs - San Francisco
Hands-on labs, small-group discussions, and real-world scenarios.
Omni San Francisco
500 California StreetSan Francisco, CA 94104
United States
* Registration open until 2/25/26 at 12:00 AM (PDT)
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 2/25/26 at 12:00 AM PDT
|
$595.00 |
Agenda
| March 10 | |
| 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: March 10, 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 with session scanning for each session that they attend.
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.
If interested in staying at the Omni, please contact the hotel directly at OMNIHOTELS.COM/SANFRANCISCO or 415.677.9494.