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West LegalEdcenter and NSCP to Provide Compliance Training to Securities Industry

Date: February 22, 2010
Press Contact: Shawn Stavseth

EAGAN, Minn., Feb. 22, 2010 – West LegalEdcenter announced today that it is providing online compliance training for professionals in the securities industry with the National Society of Compliance Professionals (NSCP).

A live 90-minute audio webcast is scheduled 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.

"NSCP is the premier organization dedicated to the education of securities compliance professionals," said Lee Ann Enquist, vice president, West Professional Development and head of West LegalEdcenter. "We are proud to join with the NSCP to provide online compliance programming."

"We are thrilled to present our programs in a new format, and the custody rule program will be the first of many online events the NSCP will hold through West LegalEdcenter," added Joan Hinchman, NSCP executive director.

Legal professionals in banking, finance, corporate and securities law also will benefit from "Challenges for Chief Compliance Officers Under Amended Advisers Act Custody Rule":

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?

Presenters include:

  • 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 and $165 for non-members. It provides 1.5 continuing legal education credits. For more information, and to register, visit WestLegalEdcenter.

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About National Society of Compliance Professionals

The National Society of Compliance Professionals (NSCP) is the only nonprofit membership organization exclusively serving securities industry compliance professionals. NSCP is the source for information, education, certification, networking and advocacy. NSCP's diverse membership includes brokers-dealers, investment advisers, investment companies, hedge funds, and banks, as well as insurance, law, consulting and accounting firms.

About West LegalEdcenter

The cost-effective source for online and in-person legal training and CLE, West LegalEdcenter keeps attorneys up to date on the law and compliant with state requirements. Find everything you need to manage continuing education and professional development in law firms and legal departments – live conferences and seminars around the nation, more than 7,000 online courses, compliance tracking, learning management, and full integration with in-house training. Taught by the most prestigious names in the legal field, West LegalEdcenter covers both the core substance of law as well as hot topics in every practice area. For more information, visit

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