Investment Adviser Registration Service
Experience you can trust, service you can rely on
How NRS works with our clients is the key to our successful outcomes. Our expert consultants dig deep into your organization to learn all the fine details about your business. Since the SEC, FINRA and other regulators need to understand your operations, so do we. NRS helps guide and advise you to ensure your compliant today… and tomorrow.
Many new advisers feel that simply completing the forms is all it takes. However, this often leads to significant deficiencies, delays and added expense. NRS eschews this low-cost, high-risk transactional approach in favor of a more holistic, comprehensive and conservative process that not only completes the registration but also implements a complete compliance program.
The NRS Complete Solution
NRS can guide investment advisers through the demanding registration requirements with cost-effective, practical and streamlined compliance services. NRS Consultants will:
- Invest significant time in the process, between 18 and 25 hours of organization and start-up counseling. It’s this personal relationship and dedication to learning as much about your company as possible that makes the NRS approach so successful and valuable.
- Draft your firm’s Form ADV, Part 1 and Form ADV Part 2, including any required disclosures and any necessary SEC or state application documents for your firm and other individuals, as required.
- Offer you guidance and recommendations on how your firm should begin organizing and implementing your compliance program.
The Investment Adviser Registration program includes a subscription to NRS ComplianceGuardian™.
- Key documentation such as model advisory agreements, privacy notices, required personal trading documents, a model code of ethics and a policies and procedures manual.
- Research to help your firm stay on top of both federal and state regulations.
- Annual review tool to assist with required annual compliance program review.
- Guides and monthly calendars to help you maintain compliance.
Long-term Compliance Assurance
Registration approval is just the beginning of the NRS relationship. We can provide ongoing expertise to help you design and implement your core compliance program, by reviewing your existing compliance infrastructure and working with you.
The IACCP Program provides the education, tools and support needed to manage a successful compliance program through equipping compliance professionals and firms with knowledge, resources and guidance required for daily management of regulatory compliance.