NSCP is proud to offer Essential Compliance Training (ECT) to assist compliance officers in fulfilling the duties of their profession.
The ECT Investment Adviser/Hedge Fund Primer will benefit:
• Individuals “inheriting” the CCO position;
• Hedge fund professionals whose firm is seeking to register with a regulatory authority;
• OCOs (Only Compliance Officers) - How are you supposed to keep up if you can’t leave the office?
• Broker-Dealer CCOs whose firm(s) want to register as an Investment Adviser;
• CCOs in need of assistance with training for their compliance staff
The ECT IA/HF Primer is a self-study, self paced program in which candidates will have virtual access to training materials, instructional videos, and training lessons through a 24/7 secure portal.
We are pleased to offer “ERISA Policies, Procedures and Internal Controls.” This Essential Compliance Training module is designed to help you incorporate ERISA policies, procedures and internal controls into your compliance system and is appropriate for both BDs and IAs. The program has six components:
• Know the rules (ERISA)
• Understand the business
• Firm infrastructure
• Policies
• Procedures
• Internal controls
The program has numerous references, tools, templates and checklists including a sample retirement plan new account form, a sample retirement plan service agreement and an ERISA Policies, Procedures and Internal Controls checklist mapped to the course content. Click here for a sample checklist.
If you have struggled to understand ERISA and incorporate appropriate policies and procedures into your compliance system, this program should be tremendously helpful.
We are pleased to offer the “IA SEC Audit Prep Kit.” This Essential Compliance Training module is designed to help you prepare for an SEC Audit and strengthen your compliance system. The prep kit contains:
• SEC Audit Guidance
• The SEC Information Request List annotated template
• A sample memo to your firm’s employees
The program has an additional sixteen references, tools, templates and checklists including an information security checklist, sample information security procedures, risk analysis matrix, vendor due diligence questionnaire and much more. Click here for a sample.
It is also highly recommended that you use the IA SEC Prep Kit for your annual reviews (self-audits.) This is a tremendous value at $95. The key to a favorable audit outcome is preparation and the SEC Audit Prep Kit offers a wealth of helpful tools.