National Society of Compliance Professionals

National Society of Compliance Professionals

非盈利组织

Cornwall Bridge,CT 5,018 位关注者

For Compliance. By Compliance.

关于我们

The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides financial services compliance professionals with a wide range of resources including a community of like-minded peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests.

网站
https://nscp.org/
所属行业
非盈利组织
规模
2-10 人
总部
Cornwall Bridge,CT
类型
非营利机构
创立
1987

地点

National Society of Compliance Professionals员工

动态

  • ?? Celebrating Native American Heritage Month in Financial Services ?? In November, we honor Native American leaders who have shaped financial equity and sustainability in our industry. As highlighted by Takesha Pollock in the recent NSCP Currents article, key figures include: ?? Elouise Cobell (Blackfeet Nation): Cobell led a landmark suit that recovered $3.4 billion for mismanaged Native trust funds and founded Blackfeet National Bank, the first tribally-owned bank. ?? First Nations Oweesta Corporation: A driving force in Native-led financial education and CDFI development, strengthening capital access for Indigenous communities. ?? Lynn Malerba (Mohegan Tribe): Appointed as the first Native U.S. Treasurer in 2022, Malerba advocates for financial inclusion and access to capital. Their work highlights the ongoing impact of Native leadership on financial equity and sustainable growth. ?? Learn more by checking out the full article: https://lnkd.in/eSJ-xbuy ?? Not a member? Join NSCP today for exclusive access to industry insights and networking opportunities: https://lnkd.in/eJviWxHd ?? Share your experiences or learn from others on this and other key issues by contributing to NSCP Currents, the leading publication in compliance: https://lnkd.in/eAXrRGQF #NativeAmericanHeritageMonth #FinancialEquity #SustainableFinance #FinancialServices?

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  • National Society of Compliance Professionals转发了

    查看Lisa Crossley的档案,图片

    Seasoned Compliance and Regulatory Professional Driving Growth and Success as Executive Director and CEO of NSCP

    Our recent Broker-Dealer Forum provided essential updates on SEC enforcement trends, Reg BI challenges and FINRA's remote inspection updates, offering key compliance insights. Key Takeaways: ?? Consolidated Audit Trail (CAT): The CAT program remains active despite court challenges, with potential appeals on the horizon. ?? Reg BI Enforcement: Firms were reminded to follow up on red flags and ensure robust supervisory procedures to avoid violations. ?? Private Placements: A FINRA case highlighted the importance of due diligence and clear WSPs for pre-IPO offerings. ?? Remote Supervision: New rules now align FINRA and NYSE requirements, simplifying remote work compliance. Thank you to everyone who joined us, including Issa Hanna, Brian Rubin, and Andrew Mount for leading this insightful discussion. Stay tuned for our next forum on Wednesday, December 4th! #NSCP #ComplianceUpdates #BrokerDealer #RegulatoryInsights

  • ????Navigating AI’s Impact on Investment Management As AI and Generative AI (GenAI) technologies become ever more prevalent in investment management, they bring both game-changing potential and significant risk. In his latest article for NSCP Currents, Paul Felsch, Chief Compliance Officer, explores how investment managers can prepare for AI’s evolving role on "Wall Street." ?? Key Takeaways: New Standards: AI and GenAI aren’t just “nice-to-haves” anymore—they’re rapidly becoming essential. From customized portfolio management to streamlined compliance, these tools are reshaping the landscape. Risk Awareness: Alongside benefits, AI/GenAI presents risks like data inaccuracies, “AI-washing,” and opacity in decision-making. Without clear regulations, it’s up to firms to proactively manage these. Responsible AI Programs: By implementing Responsible AI programs, managers can help ensure that AI tools are used ethically and effectively. Elements include employee training, ongoing tool monitoring, updated disclosures, and oversight of third-party vendors. As Felsch notes, thoughtful adoption of these technologies is vital, and industry-wide collaboration will be key to navigating this new era. ?? Learn more by checking out the full article: https://lnkd.in/etpfjkvP ?? Not a member? Join NSCP today for exclusive access to industry insights and networking opportunities: https://lnkd.in/eJviWxHd ?? Share your experiences or learn from others on this and other key issues by contributing to NSCP Currents, the leading publication in compliance: https://lnkd.in/eAXrRGQF #InvestmentManagement #AI #GenAI #Compliance #RiskManagement #NSCPCurrents

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  • ?? Apply Now for the CSCP & CICCP Spring Programs?? NSCP proudly sponsors the Certified Securities Compliance Professional (CSCP) and the Certified Investment Company Compliance Professional (CICCP). These online graduate-level programs are offered by the University of St. Thomas. Courses run January 21–May 4, 2025. Learn more and apply today: CSCP - https://lnkd.in/dcWdkgp CICCP - https://lnkd.in/eJ5Kzv7h

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  • National Society of Compliance Professionals转发了

    Join Us for the Next NSCP Currents Live Webinar: “T+1, Best Execution, and Trade Reporting Compliance for Broker-Dealers” –?Thursday, November 21, 12:00 – 1:00 PM EST NSCP Members:?Mark your calendar so you don’t miss this live event! This webinar will be accessible to NSCP Members only.* Not an NSCP Member? Join Now: https://lnkd.in/e2K2m728

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  • ??This week, in recognition of International Fraud Awareness Week, we want to take a moment to acknowledge the critical role that compliance professionals play in protecting the integrity of our financial systems. Your vigilance, dedication, and hard work are invaluable in the fight against fraud. Thank you for all you do to keep our industry safe and trustworthy.???? #FraudAwarenessWeek #ComplianceProfessionals #FightingFraud

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  • ??Exciting News from NSCP!?? We are thrilled to announce two new members joining the NSCP Board of Directors: Carlo di Florio, President of ACA Group, and Janice Powell, Chief Compliance Officer of Diversify Advisor Network. In addition, we’re pleased to introduce Heather Traeger, General Counsel and Chief Compliance Officer for the Teacher Retirement System of Texas, as our 2025 Chair-Elect! These leaders bring extensive experience and fresh perspectives to NSCP, enhancing our mission to support compliance professionals across the financial services industry. A huge thank you to our outgoing board members Rob Saperstein, Hope Newsome, Jeannette "Jeannie" Lewis, Jeffrey R. Blumberg, and Melissa Loner for their invaluable contributions and years of service. Your dedication has helped build a stronger NSCP community! For more information, please check out the full press release: https://lnkd.in/eepNcjhz #NSCP #ComplianceProfessionals #Leadership #ComplianceCommunity #FinancialServices

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  • National Society of Compliance Professionals转发了

    查看Lisa Crossley的档案,图片

    Seasoned Compliance and Regulatory Professional Driving Growth and Success as Executive Director and CEO of NSCP

    ?? Insights from the SEC Division of Examinations Panel at the NSCP National Conference ?? We were honored to host leaders from the SEC Division of Examinations at our National Conference last week for an in-depth look into the 2025 examination priorities. Here are some key takeaways from this insightful discussion: ?? Determining Priorities: Each year, the SEC’s examination priorities are developed collaboratively, taking into account feedback from regulators, industry groups like NSCP, and investor groups. This approach ensures a well-rounded focus on emerging regulatory issues. ?? Perennial Focus Areas: Reg BI, digital engagement, and new technologies remain at the forefront. Recurring priorities provide compliance professionals with critical areas to spotlight within their organizations and share with senior leadership. ?? Promoting Compliance: The SEC emphasized their goal of empowering compliance programs by providing resources like Risk Alerts, examination brochures, and compliance outreach events. ?? Enforcement Referrals: Only a small percentage of exams lead to enforcement. Key factors include recidivism, fraud, gatekeeper deficiencies, and investor harm. ?? Top Tips for CCOs: When remediating deficiencies, engage openly with SEC staff, take corrective actions during the exam process, and prioritize investor protections. ?? Emerging Risks: Compliance programs should focus on the Marketing Rule, AI, digital assets, and new rulemaking areas to stay proactive. Many thanks to the SEC for sharing these insights, helping our members strengthen their compliance programs and anticipate regulatory focus areas. #NSCPNational #ComplianceLeadership #SECExaminations #RegulatoryCompliance

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