NRS ComplianceEssentials™ for Hedge Funds
Most compliance officers use multiple tools to manage various compliance functions. With NRS ComplianceEssentials for Hedge Funds™ many compliance requirements are met with one system. In addition, the system allows compliance officers to assign different tools to different users. For example, ‘control persons’ might have access to the Code of Ethics and the Attestation but not to the firm’s Policies and Procedures manual.
NRS ComplianceEssentials for Hedge Funds™ includes model policies and procedures, a model code of ethics, model proxy voting procedures, and tools to assist you with meeting the privacy notice requirements. NRS ComplianceEssentials for Hedge Funds™ also includes a Due Diligence Questionnaire to guide you through assessing your firm in a number of critical areas. In addition, there is a Document Management system in which firms can access NRS model documents as well as upload their own.
Whether you are an SEC-registered hedge fund adviser, or a hedge fund adviser who is not registered with the SEC but wants to have a Policies & Procedures Manual in place as part of your due diligence and best practices, NRS offers a manual that can be customized for your needs.
The NRS Hedge Fund Policies & Procedures Manual addresses all issues concerning investment-adviser topics, as well as hedge fund-specific chapters on topics including:
This sophisticated online manual tool allows firms to archive their manuals at any time. Once archived, firms continue to have access to that manual in a read-only format which easily takes care of the firm’s books and records requirements.
The NRS Updating Service is included free for the first year and can be purchased separately after the first year. These updates will be provided within the manual, highlighted so that you can easily access the changes, however, the firm-specific content will never be overwritten. Instead, this system will alert the firm to a changed section and allow the user to decide which version to use or the firm can edit the section incorporating any new material.
We have also included a Compliance Calendar to alert you of upcoming regulatory deadlines. You can even add the deadlines directly to your MS Outlook™ Calendar and take advantage of those reminder functions.
This all in one solution to make complying with regulations easier includes such tools as:
Most compliance officers use multiple tools to manage various compliance functions. With NRS ComplianceEssentials for Hedge Funds™ many compliance requirements are met with one system. In addition, the system allows compliance officers to assign different tools to different users. For example, ‘control persons’ might have access to the Code of Ethics and the Attestation but not to the firm’s Policies and Procedures manual.
NRS ComplianceEssentials for Hedge Funds™ includes model policies and procedures, a model code of ethics, model proxy voting procedures, and tools to assist you with meeting the privacy notice requirements. NRS ComplianceEssentials for Hedge Funds™ also includes a Due Diligence Questionnaire to guide you through assessing your firm in a number of critical areas. In addition, there is a Document Management system in which firms can access NRS model documents as well as upload their own.
Whether you are an SEC-registered hedge fund adviser, or a hedge fund adviser who is not registered with the SEC but wants to have a Policies & Procedures Manual in place as part of your due diligence and best practices, NRS offers a manual that can be customized for your needs.
The NRS Hedge Fund Policies & Procedures Manual addresses all issues concerning investment-adviser topics, as well as hedge fund-specific chapters on topics including:
Now online, the manual include such features as:
- Code of Ethics
- Investment Offering Documents
- Pricing and Valuations of Securities
- Regulation D Exemptions and Filings
- Risk Monitoring
In addition, NRS provides an e-mail tool with several email templates for firms to use such as a Compliance Alert template which can be used by the Administrator to notify employees of policy or procedural changes. A firm can add any number of other templates.
- A customization tool in which you answer questions about your firm and business practices. Those answers will be utilized to create a custom manual.
- Sample Firm Policies, written by NRS and are created based on the answers in the completed profile. In addition, the firm can add more specific information whenever necessary using the Administration tools.
- The Procedures section provides sample procedures for a firm to edit to include their own requirements.
- The ability to add an unlimited number of users to the online manual and to track usage by users.
This sophisticated online manual tool allows firms to archive their manuals at any time. Once archived, firms continue to have access to that manual in a read-only format which easily takes care of the firm’s books and records requirements.
The NRS Updating Service is included free for the first year and can be purchased separately after the first year. These updates will be provided within the manual, highlighted so that you can easily access the changes, however, the firm-specific content will never be overwritten. Instead, this system will alert the firm to a changed section and allow the user to decide which version to use or the firm can edit the section incorporating any new material.
We have also included a Compliance Calendar to alert you of upcoming regulatory deadlines. You can even add the deadlines directly to your MS Outlook™ Calendar and take advantage of those reminder functions.
This all in one solution to make complying with regulations easier includes such tools as:
Add the NRS ComplianceEssentials™ Annual Review Tool and the NRS ComplianceEssentials™ Email Monitoring and Archiving Tool to complete your compliance solution!
- Firm Profiling tool to assist in the initial customization of the Policies & Procedures.
- A Model Code of Ethics which can be customized by the firm. Also included is the attestation which can be tracked by employee and archived to meet the books and records requirement.
- Model Proxy Voting Procedures
- A Due Diligence Questionnaire
- Form ADV software to assist you in ensuring the firm maintains an up-to-date form. This tool allows you to export the any part of the Form for IARD upload.
- Model Documents such as a Business Continuity Plan accessible from anywhere at anytime as well as model advisory contracts.
- Guides and Checklists including a SEC Exam Checklist, an Advertising Review Checklist, a Personal Securities Guide and more.
- Access to a complete, fully searchable Regulatory Database.
- Compliance Alerts sent directly to you from NRS to notify you of any important regulatory changes.
- An integrated email tool so that you can manage internal Compliance Alerts and other pertinent communications.
- A Privacy Notice wizard to assist you in meeting the requirements of the Privacy Rule.
- Plain English, state-by-state registration requirements.
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