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NSCP Currents

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NSCP is dedicated to serving and supporting financial services compliance professionals.

NSCP is dedicated to serving and supporting financial services compliance professionals.
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Location:

United States

Description:

NSCP is dedicated to serving and supporting financial services compliance professionals.

Language:

English

Contact:

860-672-3005


Episodes

Current Trends in SEC Examinations – What to Expect Before Your Next Visit from the SEC

9/25/2018
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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.

Duration:00:18:00

How to Master the Annual Review and Promote a Culture of Compliance: Part 2 Testing and Reviews

7/27/2018
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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.

Duration:00:10:47

How to Master the Annual Review and Promote a Culture of Compliance

6/25/2018
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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.

Duration:00:12:42

Connecting the Dots: The SEC’s proposed rules on the standards of conduct for investment professionals

5/27/2018
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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...

Duration:01:10:20

Senior Exploitation from the Trenches: April 2018

4/30/2018
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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.

Duration:00:10:02