News & Updates

Join NSCP's Fireside Chat Webinar on January 15 to explore exciting plans for 2025 and beyond with industry leaders. Don't miss this chance to...

Join NSCP's 2025 events in NYC and Chicago for compliance seminars and labs tailored for Private Fund Managers and Broker-Dealers. Register now!

Explore strategies for diverse professionals in compliance to thrive. Learn about mentorship, soft skills, and the importance of DEI initiatives for...

NSCP is advocating for a Compliance Advisory Committee at the SEC to enhance compliance practices in the financial industry. This initiative aims to...

NSCP announces new board members Carlo di Florio and Janice Powell, with Heather Traeger as 2025 Chair-Elect, enhancing compliance leadership in...

NSCP responds to the DOL's final Retirement Security Rule, emphasizing support for compliance professionals in adapting to new fiduciary standards.

Explore the evolving landscape of ESG compliance, highlighting regulatory challenges in North America and advancements in Europe, the Middle East,...

Explore the NSCP's guide on CCO liability amid regulatory scrutiny. Learn about the proposed framework to navigate compliance challenges effectively.

Discover how FINRA's Remote Office Rules and Residential Supervisory Locations (RSLs) are transforming broker-dealer compliance and supervision in a...

Discover the DOL's revised fiduciary rule expanding fiduciary status for financial professionals. Effective September 2024, prepare for compliance...

Discover strategies to tackle off-channel communication challenges in financial services. Learn about compliance, recordkeeping, and technology...

NSCP appoints Melissa Loner as COO and Deputy Executive Director, bringing 25 years of compliance expertise to enhance member services and strategic...