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Latest News
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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.
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Podcast: NSCP recap with Barbara Boehler
The National Society of Compliance Professional’s (NSCP) Annual Conference happened in October in Dallas. We broke down the key talks with NSCP board member Barbara Boehler.
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NSCP: SEC Exam Division leaders share insights on new year of priorities
At the NSCP annual conference this week, SEC Exam Division leaders told the audience how to best prepare for agency inspections.
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SEC Commissioner Mark Uyeda prepared and unscripted at NSCP conference
Commissioner tells annual gathering to prepare for additional workload caused by ‘overactive’ regulator.