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(360) 714-8662

NCS Regulatory Compliance

Filed under: Consulting Firm

Company info:

  • Top executive: Mark Alcaide, COO/Partner
  • 800-800-3204
  • 1345 Avenue of the Americas, 2nd Floor
    New York, NY 10105

RIA department info:


What is the service or product you offer to RIAs?

NCS Regulatory Compliance is the nation’s premier regulatory compliance consulting firm and offers the deep investment adviser and broker-dealer expertise with proven compliance knowledge that makes the critical difference to our clients.

How do you differentiate your offering from competitors?

Our compliance services, combined with decades of industry experience and best-in-class technology solutions, provide firms with the registration and ongoing consulting services that have set us apart as the leader in proactive compliance consulting. Our knowledgeable and dedicated consultants work closely with you to assess your compliance needs and develop a strategy that is effective and easy to implement, while anticipating and planning for regulatory changes.

What else would you like to say about your business?

As a client and partner of NCS Regulatory Compliance, you’ll have access to our comprehensive suite of registration, compliance, and regulatory accounting services, as well as the thought leadership and expertise of some of the most notable professionals in the industry. Together, as your trusted partner, NCS Regulatory Compliance will help you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies, while we focus on ours. Our primary services and solutions include:

· Registration Solutions

· Mock Examinations and Testing

· Regulatory Exam Assurance

· Ongoing Compliance Programs

· CCO Assistance and Training Programs

· Regulatory Accounting and FINOP Support

· Customized Compliance Manuals

· Technology Solutions

· Advertising and Website Review

· Cybersecurity Assessments


Five Warning Signs of an SEC Audit

Successful Breakaway Requires Planning

Ignore the SEC's Advertising Risk Alert at Your Own Risk

SEC Announces Initiative to Fight Cyber Threats and Protect Retail Investors

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