NRS The Fundamentals
The Fundamentals of Investment Adviser Registration and Support Service
Deciding to register as an Investment Adviser is more complex than filling out a few forms. NRS’ approach to registration offers a holistic, comprehensive and conservative process that not only completes the registration, but also assists you in implementing the required custom compliance program. Your dedicated NRS consultant stays with you for the first twelve months, offering support as your business grows and your compliance needs increase.
We have been registering firms and providing compliance solutions since 1983. Our longevity and understanding of the requirements and how those requirements affect our clients’ business plans is unsurpassed in the marketplace.
Registration Services include a personal relationship between you and the NRS consultant to create all the necessary documents to register with a state or the SEC, including Form ADV, Part 1 and Part 2 and any required disclosures and other necessary SEC or state application documents for your firm and other individuals, as required.
We will offer guidance and recommendations on how you should begin organizing and implementing your compliance program.
The Fundamentals Investment Adviser Registration Service:
- Your NRS consultant will provide guidance as you customize your Policies and Procedures and Code of Ethics Manual within ComplianceGuardian.
- Tailored compliance task calendar built from your Policies and Procedures.
- U4 or U5 filings as needed throughout the year.
- Scheduled one hour conference call 90 days post-registration with your consultant to answer your compliance questions and assist in helping you manage your compliance program.
- Review of your firm’s website and marketing materials during the year as requested.
- Annual Updating Amendment Service.
- Scheduled one hour conference call as you approach the end of your first year as a registered entity. Your NRS consultant will answer questions and prepare you for your second year of business as a registered investment adviser.
Our service also includes a 12 month subscription to NRS ComplianceGuardianTM, a web based platform that you and your consultant will utilize during the engagement.
- Policies and Procedures
- Compliance Task List and Calendar
- Code of Ethics with required annual attestation
- Quarterly updates
- Model Documents such as a Business Continuity Plan, Exception Review, Privacy Notice, and Trade Error reports
- Checklists and Guides on topics including cybersecurity; advertising; books and records files; and regulatory exam preparation.