Event

2015 NSCP National Conference

November 01, 2015 {ml-event-to} November 04, 2015

Partners Peter Chan and Steve Stone will participate on panels at the 2015 National Society of Compliance Professionals (NSCP) annual conference.

Panel: "Broker-Dealers: Effective Practices for Managing Conflicts of Interest"
Monday, November 2 | 2:10–3:45 pm
Panelist: Peter Chan

This panel will cover topics including:

  • Identifying and understanding conflicts within the business model
  • Developing a compliance and ethics program to address the conflicts
  • Establishing standards and procedures to prevent and detect conflicts
  • Establishing supervision and oversight responsibilities
  • Response and prevention steps to prevent a recurrence 

Panel: "Global Compliance"
Tuesday, November 3 | 2:10–3:25 pm
Panelist: Steve Stone

View the presentation >>

This panel will cover topics including:

  • European Union (EU) Directive
  • Alternative Investments Fund Managers Directive (AIFMD)
  • Foreign Corrupt Practices Act (FCPA)
  • Oversight and supervision – (firm vs. individuals & small firm vs. large firms)
  • Regulatory framework – registration, disclosures and distributions

Panel: "Legal vs. Compliance vs. Ethics"
Wednesday, November 4 | 9:30–10:30 am
Panelist: Steve Hansen

This panel will cover topics including:

  • Why do ethics matter?
  • Relationship between law and ethics
  • Legal requirements vs. best practices
  • How does a firm create an ethical culture?
  • Practical applications for best practices 

CLE credit: NSCP will seek program accreditation for CLE and CE credits.