NRS ComplianceEssentials™ Annual Review Tool
                                         

Rule 206(4)-7(b) of the Advisers Act requires each SEC registered firm to complete an annual review of the firm’s policies and procedures to be certain they are working to protect investors. While some firms may choose to outsource this review to NRS, others can rely on the NRS ComplianceEssentials™ Annual Review Tool to assist advisory firms in executing the interim or annual compliance review.

With this tool, you can:

• Save time – Automatically integrate each section of your policies and procedures manual if you subscribe to the NRS Online IA Policies and Procedures Manual, or NRS ComplianceEssentials™.
• Assign Reviews – Select and assign reviews to specific managers based on their area of expertise, set due dates, add comments that become part of the review, and track the status of each review. You can also have the system automatically send email reminders so that the review is completed on time.
• Prepare the Summary Report – Automatically prepare a summary report for senior management. The system will automatically archive the review for recordkeeping purposes.

Take advantage of special pricing when you also subscribe to NRS ComplianceEssentials^TM.

For more information or to schedule an online demonstration please call NRS at (860) 435-0200.