DESCRIPTION:

Join us for a full day of in-person lab sessions designed to provide real life application through hands-on learning activities. Attendees will learn from knowledgeable facilitators, engage in small group discussions, and share their thoughts and experiences through the use of case studies, group questions and hypothetical scenarios applicable to each session’s topic.  Attendees will leave with practical and useful tools to apply in their workspace. Enjoy a networking reception at the end of the day to wind down and connect with other compliance professionals. NSCP Interactive Compliance Labs are a great way to learn, engage and grow in your profession. This event is not available for virtual attendance and is closed to regulators and press.

REGISTRATION RATES:

$395 for NSCP Members

$575 for Non-members (Learn more about becoming a NSCP Member)

DATE: Thursday, April 18, 2024 (9:00 AM - 4:15 PM)

LOCATION:
The Pointe at California State University, Long Beach (1250 Bellflower Blvd.,  Long Beach, CA  90840)

PARKING: All guests should park in Lot G11 and pay for parking at the Kiosk at the bottom of the yellow steps.  https://www.csulb.edu/maps

This event will be offered in person only with no virtual attendance option.

CONTINUING EDUCATION:
A Continuing Education (“CE”) Certificate of Attendance will be provided to attendees who participate in this event and verify their attendance for each session that they attend.

AGENDA: (click on each session title for the description and speakers or download PDF agenda here)

8:00 AM – 9:00 AM: Registration & Breakfast

9:00 AM – 10:30 AM: Session 1 (3 breakouts)

• Session 1a. ALL - Risk Management Beyond Assessment

• Session 1b. ALL – Regulatory Considerations Surrounding Service Providers

• Session 1c. PF - New Private Fund Investor Reporting Requirements

10:30 AM – 10:45 AM: Break

10:45 AM – 12:15 PM: Session 2 (3 breakouts)

• Session 2a.  ALL – Bringing Off-Channel Communications On-Channel

• Session 2b. ALL – Enhancing the Skills Needed to be an Effective Compliance Officer

• Session 2c. PF - Preferential Treatment: Death of Side Letters and More

12:15 PM – 1:00 PM: Lunch

1:00 PM – 2:30 PM: Session 3 (3 breakouts)

• Session 3a.  ALL – Preparing for Regulatory Examinations

• Session 3b.  ALL - Promoting Ethics in Organizations: Fostering a Culture of Integrity and Responsibility  

• Session 3c. IA/PF – Marketing: The Marketing Rule and Beyond

2:30 PM – 2:45 PM: Break

2:45 PM – 4:15 PM: Session 4 (3 breakouts)

• Session 4a. ALL – Establishing a Cyber Incident Response Playbook

• Session 4b. (THIS SESSION HAS BEEN CANCELED)

• Session 4c. IA/PF - Compliance Testing, Surveillance, and Documentation: Regulatory Expectations

NEARBY HOTEL OPTIONS:

NSCP has not secured a room block for this event. Attendees should make their own hotel accommodations.

• The Pacific Inn (2.8 miles away)

• Ayres Hotel Seal Beach (2.9 miles away)

• Hampton Inn Long Beach Airport (3.3 miles away)

• Hyatt Regency Long Beach (4.4 miles away)