Mapping Tool
NSCP BD-IA Regulatory Mapping Tools
NSCP’s Mapping Tools offer a comprehensive suite of resources designed to help broker-dealers and registered investment companies navigate the complex landscape of regulatory requirements. Members have access to an expansive, organized list of applicable rules and obligations, mapped across various regulatory bodies such as the SEC, FINRA, and others. By consolidating these requirements into a centralized, easy-to-navigate format, the tools streamline compliance efforts, support risk management, and enhance operational efficiency. Whether used for internal audits, compliance planning, or regulatory reporting, the Mapping Tools serve as critical reference points for staying up to date with evolving regulatory standards.
NSCP offers members two versions of the Mapping Tool – a one-page reference, as well as our new, interactive Mapping Tool powered by Cardamon. In addition, members can stay up to date on the latest regulatory notices and rule changes in real time with Horizon Scanning powered by Cardamon.
The NSCP Mapping Tools and Horizon Scanning are exclusive member benefits accessible to NSCP Members only.
NEW: Interactive Mapping Tool and Horizon Scanning
Developed in partnership with Cardamon, these AI-powered resources offer an interactive list of applicable rules and obligations, along with summaries, applicability, and direct links to resources + real time updates on the latest regulatory notices and rule changes.
These tools are accessible through single sign on (SSO), but users are required to setup a login initially.
Click here to download an FAQ on the Mapping Tool and Horizon Scanning
One-Page Reference Tool
An expansive, organized reference tool outlining the applicable rules and obligations you need to know in one convenient reference guide. A helpful resource for staying up to date with evolving regulatory standards.