NSCP Interactive Compliance Labs – June 4

NSCP Interactive Compliance Labs – June 4 – Don’t Miss Out

Registration Closing on May 30th

NSCP Interactive Compliance Labs for Broker-Dealers & Investment Advisers, June 4th in Chicago

BD/IA Lab Sessions Offered:

• Reg S-P Amendments/Privacy Controls
• Financial Crimes and AML
• Annual Review, Testing, and Surveillance
• Supervision Monitoring and Testing

This full-day, in-person event features hands-on lab sessions focused on real-life application. Learn from expert facilitators, engage in small group discussions, and explore case studies, hypotheticals, and practical tools you can apply immediately in your role. Earn credits toward your CLE, CPE, or other professional designation.

Learn more & register >