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NSCP Archived Webinars

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  • Please login and then click the Resource Library tab in the Member Center to find the Webinar Archive folder.
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Login to view our archived webinars for 2017

  • Managing Regulatory Relationships – Playing by the Regulator’s Rulebook
  • SEC Rule 17-h Risk Assessment and Recordkeeping Requirement
  • CCO Liability (Part III): Managing Liability: Navigating Indemnities and Insurance Options
  • Leave It to the States: Compliance and Registration Priorities for BDs/IAs
  • Ethical Decision Making – Recognizing Issues

Login to view our archived webinars for 2016

  • Trade Compliance Through the Lifecycle of a Trade
  • Last Chance: Impact of ERISA Fiduciary Regulation
  • MCDC Disclosure Obligations
  • Simplifying Regulatory Change Management by Leveraging Integrated Content and Technology
  • FinCEN’s Proposed AML Rule: Implications for Investment Advisers to Private Funds
  • Final Look at DOL Fiduciary Proposal – A Game Changer
  • Blind Spots in Operational Risk Webinar
  • Who Is the New Twenty-first-Century CCO? Current Issues in CCO Liability
  • Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision Liability
  • Creating and Executing Effective, Customized Branch Examinations
  • The DOL Rule: What You Need to Know Now
  • Cybersecurity – Vendor Due Diligence
  • 5 Things Every Compliance Officer Should Know About Trade-Based Money Laundering Risks
  • CyberSecurity Risk Management Process – Evaluating Risks and Strengthening Governance

Login to view our archived webinars for 2015

  • Compliance Technology – Beyond the Hype – How to Reduce Risk & Gain Efficiency
  • CyberSecurity Risk Assessment for Investment Professionals
  • DOL Proposal on ERISA Fiduciary Status for Investment Advisers
  • How to Successfully Navigate State Investment Adviser Regulations
  • SEC Examination Priorities for Private Equity Firms – Fees and Expenses, Parts 1 and 2
  • Managing Investment Compliance: Best Practices in an Evolving Environment

2016 Broker-Dealer Best Practices Survey Results

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