nscpconferences.org | National Society of Compliance Professionals

Regulatory Interchange in Denver

Don’t miss our NSCP Regulatory Interchange with the SEC & FINRA:

The NSCP Regulatory Interchange will provide an informal setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators! *This event is closed to members of the press.

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July 10, 2018

08:30 - 12:30

Denver, CO

U.S. Securities and Exchange Commission Offices, Byron G. Rogers Federal Building, 1961 Stout Street, Denver, CO

Register today >

NSCP Spring Conference in San Francisco

The NSCP Spring Conference in San Francisco, California is a one day event offering a variety of industry hot topics for compliance professionals to increase their knowledge and understanding. Sessions will be led by experienced industry veterans on the topics of:

The Future of Compliance
Forensic Testing
New Developments in Technology
Blockchain: DLT & Cryptocurrencies
The Compliance Professional of the Future
Interactive Case study on Insider Trading

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May 3, 2018

8:30 AM - 5:00 PM

The Schwab Center

211 Main Street, San Francisco, CA 94105

Early Bird Member Rate: $375

Register today >

Regulatory Interchange in San Francisco

Don’t miss our NSCP Regulatory Interchange with the SEC:

The NSCP Regulatory Interchange will provide an informal setting for Investment Adviser and Private Fund industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC regulators. Don’t miss this opportunity to network with both your peers and regulators! *This event is closed to members of the press.

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May 4, 2018

9:00 AM - 12:00 PM

The Schwab Center

211 Main Street, San Francisco, CA 94105

Register today >

NSCP Spring Conference in Chicago

The NSCP Spring Conference in Chicago is a one day event offering a variety of industry hot topics for compliance professionals to increase their knowledge and understanding. Sessions will be led by experienced industry veterans in the areas of:

Ethics
New Developments in Technology
Senior Investors
Disaster Recovery
Compliance Officer of the Future
Anti-money Laundering
Due Diligence (for BDs & IAs)
Human Resource Developments

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June 4, 2018

8:30 AM - 5:00 PM

Federal Reserve Bank of Chicago

230 S LaSalle St, Chicago, IL 60604

Early Bird Member Rate: $375

Register today >

Regulatory Interchange in Chicago

Don’t miss our NSCP Regulatory Interchange with the SEC, FINRA, NFA & MSRB:

The NSCP Regulatory Interchange will provide an informal setting for Broker Dealer, Investment Adviser, Private Fund and Municipal Advisor industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the regulators. Don’t miss this opportunity to network with both your peers and regulators! *This event is closed to members of the press.

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June 5, 2018

09:00 - 12:30

Federal Reserve Bank of Chicago

230 S LaSalle St, Chicago, IL 60604

$40 Discounts off of registration for those attending NSCP Spring Conference in Chicago the day before

Register today >

Regulatory Interchange in Boston

Don’t miss our NSCP Regulatory Interchange with the SEC:

The NSCP Regulatory Interchange will provide an informal setting for Investment Adviser and Private Fund industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss those issues most pressing to them, before they meet with the SEC regulators. Don’t miss this opportunity to network with both your peers and regulators! *This event is closed to members of the press.

» View Event

December 3, 2018

08:30 - 12:00

Federal Reserve Bank of Boston

600 Atlantic Ave, Boston, MA 02210