NSCP Industry Forums & Working Groups
Broker Dealer Forum
Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to broker-dealers. Virtual discussions are held on the first Wednesday of each month at 2pm ET. Recordings are available to all NSCP members for review after each call.
Emerging Leaders Forum
The Emerging Leaders Forum is intended for compliance professionals and service providers who are newer (10 years or less) or returning to the financial services compliance profession; however, all NSCP members are welcome. The Emerging Leaders Forum holds quarterly virtual meetings with guest speakers to address topics identified by NSCP members as important to their professional development.
Investment Adviser Forum
Facilitates periodic discussions and exchange of ideas among NSCP members regarding regulatory issues relevant to investment advisers. Virtual discussions are held on the first Thursday of every month at 12pm ET. Recordings are available to all NSCP members for review after each call.
Private Fund Forum
Facilitates a forum for the periodic discussion and exchange of ideas among NSCP members regarding regulatory issues relevant to private funds, hedge funds, and private equity firms. Virtual discussions are held quarterly on the third Wednesday of the month at 1pm ET. Recordings are available to all NSCP members for review after each call.
AML Rule Working Group for Investment Advisers
Meetings will review any relevant developments relating to the AML Rule and serve as a live forum for the discussion of members’ questions about implementation of the rule as they work toward the compliance effective date of January 1, 2026. Virtual discussions are held on the second Wednesday of each month at 12pm ET. Recordings are available to all NSCP members for review.