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:

  • Active 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
  • International Compliance
  • Exception Reports

Don’t miss this fantastic networking and learning opportunity.

Our Regulatory Interchange with the SEC, FINRA, NFA will be held at the same location on Tuesday, June 5th (9:00 AM – 12:30 PM).  Register for both events and save $40 off of registration fees.

Continuing Education Credits: This event is eligible for Continuing Education Credit. Click here to learn more.

Admission Notice: Except where noted as OPEN, all workshops are closed to Regulators and members of the press.

FAQsPrint Agenda

Fees & Registration

Registration Type Early Rate 1/4 - 4/13 Final Rate 4/14 - 6/3
Member $375 $500
Non-Member $575 $700


NSCP has not reserved a room block at any hotel for this conference. You may contact any of the nearby hotels for the best available rate: See Hotels