Interactive Compliance Labs for BDs & IAs (Chicago)
REGISTRATION IS NOW CLOSED
Foley & Lardner, LLP
321 North Clark Street30th Floor
Chicago, IL 60654
United States
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.
Agenda
| June 4 | |
| 8:30 AM - 9:30 AM | Registration, Networking & Breakfast |
| 9:30 AM - 10:45 AM | Reg S-P Amendments/Privacy Controls: Evolving Privacy Regulations (Intermediate) |
| 10:45 AM - 11:00 AM | Break |
| 11:00 AM - 12:15 PM | Worlds Colliding: Financial Crimes and AML (Intermediate) |
| 12:15 PM - 1:00 PM | Lunch |
| 1:00 PM - 2:15 PM | Best Practices for Approaching Annual Review, Testing & Surveillance (Intermediate) |
| 2:15 PM - 2:30 PM | Break |
| 2:30 PM - 3:45 PM | Developing Effective Supervision, Monitoring & Testing (Intermediate) |
| 3:45 PM - 5:00 PM |
Networking Reception
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REGISTRATION RATES: $425 for NSCP Members / $595 for Non-members
DATE: Wednesday, June 4, 2025 (9:00 AM - 5:00 PM)
PARKING: There is a parking garage adjacent to the building offering discounted rates.
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. Click here for additional details on continuing education.