Do you need a Compliance Partner?
Today’s compliance landscape is more demanding than ever and will only get tougher as new regulations become effective and regulators increase their oversight. As the number and complexity of regulatory mandates increase, the amount of time and resources needed to meet these requirements can be overwhelming.
That’s why you need a compliance partner. With over 30 years of industry-leading experience, NRS knows the critical challenges investment advisers and broker-dealers face and can provide a variety of Compliance Services to your firm. By partnering with us, you put experienced NRS consultants to work for you so you can maximize your resources to help ensure compliance success. Hundreds of firms have engaged us to deliver a customized compliance plan designed to fulfill their regulatory obligations while, at the same time, lowering costs and minimizing risk.
You will benefit from highly skilled professionals with an extensive history of consulting engagements that offer a wealth of individually designed services to meet your firm’s specific needs. Typical services can include:
- Compliance Program Review or Risk Assessment – An on-site review of compliance practices designed to identify major regulatory deficiencies and prepare for future regulatory examination by applying industry best practices to address the issues.
- Advertising and Marketing Review – NRS Consultants can review and make recommendations with regards to any advertising and marketing materials used by your firm so that the materials are consistent with SEC rules and requirements
- E-mail Monitoring – NRS can monitor and review your e-mail communications using your systems to ensure compliance with regulations and your policies.
- Registration and Licensing Maintenance – NRS can manage all of your firm and representative registrations and licenses using our NRS ComplianceGuardian™ technology platform.
- Form ADV Services - Delegate the tedious task of writing or maintaining your Form ADV to a team that has drafted thousands of Form ADVs and has years of experience in writing “plain English” disclosures that meet SEC approval.
- Routine or Ad-hoc Compliance Support - As your partner your dedicated consultant is available to address any concerns as they arise or can visit your offices regularly to help you complete compliance tasks.
- Compliance Education – NRS offers several compliance education programs that can be bundled into a comprehensive compliance package.
Let the compliance experts help you ensure your compliance program is ready to withstand heightened scrutiny from clients and regulators. Schedule a Consultation today.