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 about becoming a NSCP Member)

Free for Enrolled Students of Fordham Law School (limited availability - first come/first served basis)

DATE: Tuesday, April 23, 2024 (9:00 AM - 5:30 PM)

LOCATION:
Fordham University School of Law (150 W. 62nd Street, New York, NY 10023)
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 – Emerging Compliance Challenges with Use of Artificial Intelligence  

• 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 – Estabishing a Cyber Incident Response Playbook

• Session 4b. BD/IA – Understanding Reg BI Care Obligation vs. Fiduciary Duty of Care

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

4:15 PM – 5:30 PM: Networking Reception

NEARBY HOTEL OPTIONS:

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

The Empire Hotel (4 min, .4 mi)
44 West 63rd Street at Broadway
212-265-7400

Marriott Residence Inn New York Manhattan/Central Park (5 min, .7 mi)
1717 Broadway between 54th and 55th streets
212-324-3774

Le Meridien New York (7 min, .8 mi)
120 West 57th Street, New York, NY 10019, between 6th and 7th Avenues
212-830-8000

Sheraton New York Times Square Hotel (7 min, .9 mi)
811 7th Avenue at 53rd Street
212-581-1000

Belleclaire Hotel (8 min, 1.2 miles)
2175 Broadway, New York, NY 10024
212-362-7700

Hilton New York Midtown (9 min, 1.2 miles)
1335 6th Avenue between West 53rd and West 54th Streets
212-586-7000 or 800-455-8667

voco Times Square South  (9 min, 1.4 miles)
343 West 36th Street, New York, NY 10018
212-542-8990

Doubletree by Hilton NY Times Square South (12 min, 1.6 mi)
525 8th Avenue New York, NY
212-255-9000

Grand Hyatt Grand Central New York (19 min, 2.1 mi)
109 East 42nd Street
212-883-1234
Located at Grand Central Terminal; very convenient for travel by Metro North Railroad.