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NSCP 2024: Off-channel communications the focus of discussions
NSCP conference participants discussed recordkeeping enforcement actions, policy recommendations, and predictions about future enforcement patterns.
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Opinion: Mark Uyeda offers a view of a meddling, inefficient regulator
Our US editor Julie DiMauro gives her observations on two thought-provoking speeches by the oft-dissenting SEC Commissioner.
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Podcast: NSCP recap with Barbara Boehler
The National Society of Compliance Professional’s (NSCP) Annual Conference happened in October in Dallas. We broke down the key talks with NSCP board member Barbara Boehler.
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NSCP: SEC Exam Division leaders share insights on new year of priorities
At the NSCP annual conference this week, SEC Exam Division leaders told the audience how to best prepare for agency inspections.
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.
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NSCP membership has concerns about SEC’s proposed rules on safeguarding assets
We spoke to NSCP CEO Lisa Crossley and consultant Colleen Diles about why their comment letter to the SEC over Rule 206(4)-2 amendments.