The National Society of Compliance Professionals (NSCP) is a valuable resource for the broker-dealer and registered investment adviser compliance community. I have had the good fortune to contribute to the NSCP’s efforts in a number of ways, among which is writing articles for its Currents publication. These include:
- “Compliance Considerations for Spot Cryptocurrency ETFs“, which is what the name would suggest (May 2024);
- “Obvious Facts and Bad Company“, a primer on using open source resources to conduct due diligence (October 2023);
- “Two Cents on the 2023 FINRA Report“, observations from FINRA’s 2023 Report on FINRA’s Examination and Risk Monitoring Program (February 2023); and
- “A Strategy for Creating an Effective CAT Compliance Program“, tips for standing up a surveillance program for reporting to the Consolidated Audit Trail (May 2022).
Because broker-dealers, registered investment advisers and their associates want to spend their time serving their clients, not their regulators.
Read more:
- Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 1
- Not the Same CAT
- Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 2
- Well, At Least It Is Not The T-1000
- Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 3
- It Is Still Art
- Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 4
- Bigger Than Me
- Tips from The Hitchhiker’s Guide to the Galaxy for Responding to a Regulatory Exam – Part 5
- A Carbon Copy Unlike Any Other
