Compliance in a Box®
Compliance in a Box® is a reference and sample document system that enables
investment advisers to have professionally prepared client documents, trading
forms, compliance guides and registration documents - some of which are required
by the SEC and states.
Get your Compliance Department up and running with this easy-to-use online tool.
NRS has even included file folder labels so that you can maintain the records
required for the regulators.
Here's what Compliance in a Box® puts at your fingertips:
Model Client Documents
Sample SEC Inspection Guides
Sample Policies for Privacy, Insider Trading and more
Model Trading Forms
Annual Employee Questionnaire
Form ADV Acknowledgement Letters
Model Solicitor Agreement
SEC, ICI, AIMR Report Summaries
And more!
Materials are now supplied online and in hardcopy. Information can easily be
revised for your firm's needs and customized with fonts and other
characteristics to match your firm's existing documents. NRS also includes one
year of updates in case rules change or new forms are added, just login for
access!
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