2015 NSCP National Conference

November 01, 2015 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.