Chicago Continuing Education

CONTINUING LEGAL EDUCATION (CLE)

NSCP has received approval to award* 11.0 CLE credits from the Illinois MCLE Board.

NSCP has also received approval of Ethics credit (1.0) for Session 2b (Monday, April 21st) from the Illinois Supreme Court Commission on Professionalism.

Note that NSCP has only applied for pre-approval of CLE with the State of Illinois.  If you need CLE credit in a state other than Illinois, you will need to self-apply to the state that you are licensed using the Certificate of Attendance you receive from NSCP after the conference.  Illinois is a reciprocal state for the majority of other states for CLE and their pre-approval is widely accepted by other state bars.

Certificate of Attendance will be emailed to requesting attendees within 3-4 weeks after the conference has concluded.

*Verification of attendance will be required throughout the virtual sessions.  Failure to verify at any point will prevent NSCP from providing a certificate for the session(s) in question.

CONTINUING PROFESSIONAL EDUCATION (CPE)

The National Society of Compliance Professionals is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

Verification of attendance will be required throughout the virtual sessions.  Failure to verify at any point will prevent NSCP from providing a certificate for the session(s) in question.

Participants can earn up to a total of 13.4 CPE credits.
*60 minute sessions = 1.0 credit per session; 70 minute sessions = 1.4 credits per session.
Credits are available for the offered sessions in the following Fields of Study:

Monday, April 20, 2020
Time Number Name Credit Field of Study
8:30am – 9:30 am (60 min.) Session 1 ALL – Emerging Regulatory Issues (Intermediate) 1 Regulatory Ethics – Technical
9:45am – 10:55am (70 min.) Session 2b ALL – Legal but Ethically Questionable Situations (Intermediate) 1.4 Behavioral Ethics – Non-Technical
11:10am – 12:20pm (70 min.) Session 3b ALL – Working with Stakeholders (Intermediate) 1.4 Business Management & Organization – Non-Technical
1:20pm – 2:30pm (70 min.) Session 4b ALL – Risk Mitigation & the Management of Third-Party Vendors (Intermediate) 1.4 Business Management & Organization – Non-Technical
2:45pm – 3:45pm (60 min.) Session 5b ALL – Cross Border Regulations (Intermediate) 1 Regulatory Ethics – Technical
4:00pm – 5:00pm (60 min.) Session 6b All – Advanced Risk Management of Data Privacy & Cybersecurity (Advanced) 1 Information Technology –Technical
Tuesday, April 20, 2020
Time Number Name Credit Field of Study
9:45am – 10:55am (70 min.) Session 2a IA – Proposed Amendments & Practical Applications to the Advertising Rule (Intermediate) 1.4 Regulatory Ethics –Technical
11:10am – 12:20pm (70 min.) Session 3a All – Fundamentals of Compliance Testing (Basic) 1.4 Auditing – Technical
1:20pm – 2:30pm (70 min.) Session 4a BD – Regulation Best Interest for Broker-Dealers & Dual Registrants (Intermediate) 1.4 Regulatory Ethics – Technical
2:45pm – 3:45pm (60 min.) Session 5a IA – Understanding the Requirements of ADV Part 3 (Intermediate) 1 Regulatory Ethics – Technical
4:00pm – 5:00pm (60 min.) Session 6a BD/IA – Conflicts of Interest (Intermediate) 1 Regulatory Ethics –Technical

—Complaint Resolution Policy: Complaints regarding the National Society of Compliance Professionals CPE Program courses will be facilitated by contacting Michele Voytek, via email: michele@nscp.org Every effort will be made to resolve complaints satisfactorily for all parties involved.—

 

 

CERTIFIED SECURITIES COMPLIANCE PROFESSIONAL (CSCP)

Participants can earn up to a total of 13.4 CSCP credits.

*60 minute sessions = 1.2 credits per session, 75 minute sessions = 1.5 credits per session.

NOTE: All NSCP conferences and webinars qualify for CSCP credit

Verification of attendance will be required throughout the virtual sessions.  Failure to verify at any point will prevent NSCP from providing a certificate for the session(s) in question.