NSCP "Currents" Podcast

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

This episode of NSCP Currents features a reading of the article "How to Master the Annual Review and Promote a Culture of Compliance: Part 3 conclusion.” The article was written by Elizabeth Cope, Managing Member with SEC Compliance Solutions, LLC. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "Current Trends in SEC Examinations – What to Expect Before Your Next Visit from the SEC.” The article was written by Patrick D. Hayes, Investment Management Counsel and CCO at Graydon Compliance Solutions. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "How to Master the Annual Review and Promote a Culture of Compliance: Part 2 Testing and Reviews.” The article was written by Elizabeth Cope, Managing Member with SEC Compliance Solutions, LLC. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "How to Master the Annual Review and Promote a Culture of Compliance” The article was written by Elizabeth Cope, Managing Member with SEC Compliance Solutions, LLC. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "Connecting the dots" The SEC’s proposed rules on the standards of conduct for investment professionals—a quick guide to what you need to know.” The article was written by Clifford Kirsch, Partner of Eversheds Sutherland Ltd.; Michael Koffler, Partner of Eversheds Sutherland Ltd.; Issa Hanna, Counsel of Eversheds Sutherland Ltd.; Bria Adams, Associate of Eversheds Sutherland Ltd.; 
Sue (Seung Hyun) Lee, Associate of Eversheds Sutherland Ltd. and 
Ben Marzouk, Associate of Eversheds Sutherland Ltd. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "Senior Exploitation from the Trenches.” The article was written by Z. Jane Riley, Chief Compliance Officer of The Leaders Group/TLG Advisors Inc. and Carolyn Kasky, Managing Editor of Compliance Support Services, LLC. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "An Inside Look into the FinOp Role.” The article was written by Janice Parise, Partner of SDDco Group. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article “The Sides of ‘May’: When is ‘May’ Deemed False and Misleading.” The article was written by Elizabeth M. Knoblock, managing member and sole owner of Elizabeth M. Knoblock, PLLC, a private law firm, and Patricia (“Trish”) Flynn, Senior Vice President & Chief Compliance Officer for INTECH Investment Management, LLC.

This episode of NSCP Currents features a reading of the article "Branding Isn’t Just Marketing, Superpower Your Compliance Function.” The article was written by Aimee R. Blinder, Vice President, Compliance at National Planning Holdings, Inc.. Brought to you by National Society of Compliance Professionals.

This episode of NSCP Currents features a reading of the article "Marketing and Advertising by Investment Advisers – Always a Timely Topic." The article was written by Mark W. Lawler, a Senior Principal Consultant at ACA Compliance Group. Brought to you by National Society of Compliance Professionals.