Do you need a Compliance Partner?
NRS consultants are invaluable partners in your compliance program with the expertise to ensure your firm withstands regulatory scrutiny at every turn.
With an average 21 years of industry experience, our dedicated professionals have worked for the SEC and FINRA, as well as with financial regulators around the world. Their unparalleled, first-hand knowledge of industry standards and best practices empower small business owners to CCOs with practical guidance and realistic evaluations.
From custom-length to ongoing advisory engagements, our suite of services is designed to meet the unique needs of your business.
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.