For too many firms, critical compliance strategy, advice and processes are handled by providers and advisers outside of the financial services industry. NRS Compliance Consultants have an average of 21 years of experience in the industry. Let NRS assist you with our expertise in the following areas:
- Broker-Dealer Compliance (FINRA Rules)
- Hedge Fund Compliance
- Blue Sky Regulations
- Investment Company (IC Act)
- CFTC (CEA)
- Ancillary topics – AML, ERISA, etc.
- Investment Adviser Compliance (IA Act)
- RIA Registration Services
- Annual Updating Amendments
- Review/Re-write Services
Learn more about the NRS Compliance Consultants and how they can assist your firm.