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NSCP Annual: SEC sets out its next act
The agency is entering an era of “simpler rules but stricter focus,” a panelist told the audience at this year’s NSCP annual meeting.
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The economics of credibility
Defining credibility remains a distinctly human skill, yet compliance professionals are being asked to do more for less.
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NSCP’s Crossley on the group’s letter to the SEC Crypto Task Force
The NSCP’s letter provides feedback on existing compliance challenges and potential future ones the compliance community foresees in the digital asset space.
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Executive leadership succession: Crossley, Loner discuss the NSCP’s plan
After guiding the compliance community through significant regulatory change, Lisa Crossley passes the baton to a well-known NSCP advocate.
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NSCP submits letter to FINRA requesting updates to rulemaking approach
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
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NSCP’s Lisa Crossley sets out her vision for a Compliance Advisory Committee
GRIP’s Julie DiMauro spoke to Lisa Crossley about her vision for a compliance advisory committee and the much-needed clarity it could bring compliance professionals.
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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.