This episode of NSCP Currents features a reading of the article “NSCP’s Regulatory Response During COVID-19.” The article was written by Lisa Crossley, Executive Director of the National Society of Compliance Professionals. Brought to you by National Society of Compliance Professionals.

NSCP "Currents" Podcast

NSCP’s Regulatory Response During COVID-19

This episode of NSCP Currents features a reading of the article “An Overview of FINRA Proposed Rules in Anticipation of Regulation BI.” The article was written by Hope L. Newsome, co-founder and managing partner of Virtus LLP and Virtus Consulting. Brought to you by National Society of Compliance Professionals.

An Overview of FINRA Proposed Rules in Anticipation of Regulation BI

This episode of NSCP Currents features a reading of the article “How Insurance is Important to Your Compliance Program.” The article was written by by Jessica Thayer, Senior Vice President and Financial Institutions Practice Leader, Starkweather & Shepley. Brought to you by National Society of Compliance Professionals.

How Insurance is Important to Your Compliance Program

This episode of NSCP Currents features a reading of the article “'Senior Safe' Legislation – A Carrot and Stick." The article was written by Carolyn Mendelson, Esq., a senior compliance consultant at Hardin Compliance Consulting, LLC. Brought to you by National Society of Compliance Professionals.

“Senior Safe” Legislation – A Carrot and Stick

This episode of NSCP Currents features a reading of the article “Infusing Diversity & Inclusion Into Your Compliance Program.” The article was written by Shachi Bhatt, Chief Compliance Officer at the Office of the NYC Comptroller. Brought to you by National Society of Compliance Professionals.

Infusing Diversity & Inclusion Into Your Compliance Program

This episode of NSCP Currents features a reading of the article “Best Execution Considerations for Advisers.” The article was written by Tina Mitchell, Lead Sr. Compliance Consultant at Core Compliance & Legal Services. Brought to you by National Society of Compliance Professionals.

Best Execution Considerations for Advisers

This episode of NSCP Currents features a reading of the article “Simple Ways to Maximize Your Compliance Career At Any Level.” The article was written by Shachi Bhatt, Chief Compliance Officer at the Office of the New York City Comptroller Bureau of Asset Management. Brought to you by National Society of Compliance Professionals.

Simple Ways to Maximize Your Compliance Career At Any Level

This episode of NSCP Currents features a reading of the article “The Top Ten Features to Look for in a Compliance Program Management System.” The article was written by Jacqueline M. Hummel, Partner and Managing Director at Hardin Compliance Consulting. Brought to you by National Society of Compliance Professionals.

The Top Ten Features to Look for in a Compliance Program Management System

This episode of NSCP Currents features a reading of the article “The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting.” The article was written by Janaya Moscony, founder of SEC Compliance Consultants, Inc. a regulatory consulting company and CCO Compliance Services, LLC. a CCO outsourcing company. Brought to you by National Society of Compliance Professionals.

The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting

This episode of NSCP Currents features a reading of the article “Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1.” The article was written by Janaya Moscony, founder of SEC Compliance Consultants, Inc. a regulatory consulting company and CCO Compliance Services, LLC. a CCO outsourcing company. Brought to you by National Society of Compliance Professionals.

Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1

This episode of NSCP Currents features a reading of the article “Valuation Challenges in Private Equity and Private Equity Real Estate.” The article was written by Leslie Green, Chief Compliance Officer for Eagle Realty Group and Eagle Realty Capital Partners, LLC. Brought to you by National Society of Compliance Professionals.

Valuation Challenges in Private Equity and Private Equity Real Estate

This episode of NSCP Currents features a reading of the article “The Business Case for Diversity and Inclusion.” The article was written by Julia Ulloa, Founder & Principal of JU Regulation LLC. Brought to you by National Society of Compliance Professionals.

The Business Case for Diversity and Inclusion

This episode of NSCP Currents features a reading of the article “Business Email Compromise ("BEC").” The article was written by Brad Anderson, Senior Compliance Officer at DFPG Investments, Inc. and Craig Watanabe, Director of IA Compliance at DFPG Investments, Inc. Brought to you by National Society of Compliance Professionals.

Business Email Compromise ("BEC")

This episode of NSCP Currents features a reading of the article "Designing and Maximizing Annual Compliance Meetings and Compliance Training.” The article was written by Moshe Luchin, Chief Compliance Officer and General Counsel of Brenton Point Wealth Advisors LLC. Brought to you by National Society of Compliance Professionals.

Designing and Maximizing Annual Compliance Meetings and Compliance Training

This episode of NSCP Currents features a reading of the article "All GIPS® Provisions Are On the Table in 2020.” The article was written by Kimberly Smucker Cash, Managing Member at Cascade Investment Compliance & Verification. Brought to you by National Society of Compliance Professionals.

All GIPS® Provisions Are On the Table in 2020

Brought to you by National Society of Compliance Professionals. This podcast series features a reading from one of the articles from NSCP's monthly "Currents" newsletter.

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NSCP "Currents" Podcast

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