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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.
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.
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
Tracy Calder joins a lengthening line of hires that follow a deluge of SEC fines
National Compliance Services Inc. is a biggie with smaller RIAs and Regulatory Compliance LLC already provides ultra-handholding that firms increasingly demand
Flow, buzz and frenzy were constrained by the multi-floor set-up but new players in the RIA space celebrated the event and its value proposition
One competitor is convinced the Alfreds are merely rewarding fee obfuscation but the San Diego iconoclasts refuse to be discouraged
Why a $750 million LPL hybrid is selling its annuities expertise by eyeballing client contracts for RIAs
VAs aren't all bad, according to one New Jersey RIA -- in fact, some yellowing agreements are well worth a second look and could be worth keeping