The National Society of Compliance Professionals, Inc.(NSCP) is the only membership organization exclusively serving securities industry compliance professionals. NSCP is the source for information, education, certification, networking and advocacy. NSCP’s diverse membership includes Broker-Dealers, Investment Advisers, Investment Companies, Hedge Funds, and Banks, as well as Insurance, Law, Consulting and Accounting Firms. It is the mission of NSCP to be the premier organization dedicated to the Securities Compliance Professional.
To kick off the partnership, a live 90-minute audio webcast is scheduled for February 25 at 1:30 p.m. Eastern, titled “Challenges for Chief Compliance Officers Under Amended Advisers Act Custody Rule.” The program will mark the first time the NSCP will offer its best-of-class programming over the Internet.
The program will cover:
• How broad is the new concept of “custody?"
• How can an adviser who is part of a large financial complex inadvertently be deemed to have custody?
• What are ways to avoid custody?
• What policies and procedures should a CCO consider to assure compliance with the new requirements?
• What issues and questions are advisers raising about the custody rule?
• Clifford J. Alexander, a partner in the Washington, DC office of K & L Gates LLP. He also has served as outside counsel and has been with the NSCP for more than 20 years and is a Board alumnus.
• Pamela K. Ziermann, CSCP, senior vice president, Compliance and Human Resources at Dougherty Financial Group LLC. She currently serves as a director for the NSCP and the Municipal Securities Rulemaking Board Professional Qualifications Advisory Committee.
• Lee D. Augsburger, CSCP, senior vice president and chief ethics and compliance officer in the Law, Compliance and Business Ethics unit of Prudential Financial, Inc. Augsburger serves on the Board of Trustees of Star of Hope Ministries, an inner-city mission organization in Paterson, N.J.. He also serves on the Board of Advisors for the Institute for Ethical Leadership at Rutgers University and currently serves as a director for the NSCP.
The program is free for NSCP members or may be purchased for $165 for non-members. Current West LegalEdcenter subscribers also have access to the program. It provides 1.5 continuing legal education credits. For more information, and to register, visit WestLegalEdcenter.