NRS Advisor Code of Ethics    

The SEC requires all SEC registered advisers to have specific codes of ethics and those codes, as well as updates to the code need to be read by all access persons. All persons must then complete an attestation and certain other requirements need to be met.

To assist firms in complying with this rule, NRS has created an online tool to manage the requirements of this SEC requirement.

NRS ACE provides:

• A customization tool to create a code of ethics that can be easily tailored for your firm.
• An integrated attestation as well as an email tool and tracking system.
• The ability for employees to report violations, anonymously or not; and those reports will go directly to the designated Compliance Officer.
• The ability to create a Restricted list with blackout periods, readily accessible by any employee at any time. In addition, the firm can create a Restricted List report for any given time period as the regulators may require.
• The ability of the firm to archive their Code, create a new one and communicate via the email tool to all users that the Code has changed.

NRS can also provide individually designed privacy consultation and mock examinations for firms whose information sharing practices are more complicated or detailed.

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

For a more comprehensive compliance system, please review NRS ComplianceEssentials^TM which includes the NRS Code of Ethics and much more.