NSCP "Currents" Podcast
Latest Episodes
An Overview of FINRA Proposed Rules in Anticipation of Regulation BI
July 17, 2020
An Overview of FINRA Proposed Rules in Anticipation of Regulation BI
How Insurance is Important to Your Compliance Program
July 16, 2020
How Insurance is Important to Your Compliance Program
“Senior Safe” Legislation – A Carrot and Stick
July 15, 2020
“Senior Safe” Legislation – A Carrot and Stick
Infusing Diversity & Inclusion Into Your Compliance Program
March 02, 2020
Infusing Diversity & Inclusion Into Your Compliance Program
Best Execution Considerations for Advisers
December 23, 2019
Best Execution Considerations for Advisers
The Top Ten Features to Look for in a Compliance Program Management System
October 08, 2019
The Top Ten Features to Look for in a Compliance Program Management System
Simple Ways to Maximize Your Compliance Career At Any Level
October 08, 2019
Simple Ways to Maximize Your Compliance Career At Any Level
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting
June 28, 2019
The SEC’s Approach to Misconduct: Drawbacks and Benefits to Self Reporting
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
June 03, 2019
Prospects for Self-Reporting: The SEC’s Share Class Selection Disclosure Initiative, Part 1
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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