2015 NSCP National Conference

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