Date posted
Aug
21
Explore the evolving landscape of ESG compliance, highlighting regulatory challenges in North America and advancements in Europe, the Middle East,...
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NSCP News & Updates
Date posted
Jul
21
Explore the NSCP's guide on CCO liability amid regulatory scrutiny. Learn about the proposed framework to navigate compliance challenges effectively.
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Date posted
Jul
19
Discover how FINRA's Remote Office Rules and Residential Supervisory Locations (RSLs) are transforming broker-dealer compliance and supervision in a...
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Date posted
Jul
17
Discover the DOL's revised fiduciary rule expanding fiduciary status for financial professionals. Effective September 2024, prepare for compliance...
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Date posted
Jul
5
Discover strategies to tackle off-channel communication challenges in financial services. Learn about compliance, recordkeeping, and technology...
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Date posted
Apr
22
NSCP appoints Melissa Loner as COO and Deputy Executive Director, bringing 25 years of compliance expertise to enhance member services and strategic...
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Date posted
Mar
26
Discover key findings from the 2024 Cybersecurity Benchmarking Survey, revealing concerns over SEC compliance, AI risks, and cybersecurity...
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Date posted
Mar
11
The SEC's new rules for private fund advisers enhance transparency and investor protection, imposing significant compliance obligations. Stay...
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Date posted
Feb
22
Explore how AI is transforming cybersecurity, creating new threats like data manipulation and advanced phishing. Stay informed with NSCP Currents!
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Date posted
Feb
1
FINRA's recent enforcement action against a CCO highlights potential compliance risks under Reg BI. This case raises questions about future CCO...
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