NSCP Currents

This episode of NSCP Currents features a reading of the article "Current Trends in SEC Examinations – What to Expect Before Your Next Visit from the SEC.” The article was written by Patrick D. Hayes, Investment Management Counsel and CCO at Graydon Compliance Solutions. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "How to Master the Annual Review and Promote a Culture of Compliance: Part 2 Testing and Reviews.” The article was written by Elizabeth Cope, Managing Member with SEC Compliance Solutions, LLC. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "How to Master the Annual Review and Promote a Culture of Compliance” The article was written by Elizabeth Cope, Managing Member with SEC Compliance Solutions, LLC. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "Connecting the dots" The SEC’s proposed rules on the standards of conduct for investment professionals—a quick guide to what you need to know.” The article was written by Clifford Kirsch, Partner of Eversheds Sutherland Ltd.; Michael Koffler, Partner of Eversheds Sutherland Ltd.; Issa Hanna, Counsel of Eversheds Sutherland Ltd.; Bria Adams, Associate of Eversheds Sutherland Ltd.; Sue (Seung Hyun) Lee, Associate of Eversheds...

This episode of NSCP Currents features a reading of the article "Senior Exploitation from the Trenches.” The article was written by Z. Jane Riley, Chief Compliance Officer of The Leaders Group/TLG Advisors Inc. and Carolyn Kasky, Managing Editor of Compliance Support Services, LLC. Brought to you by National Society of Compliance Professionals.