NRS ComplianceEssentials™
Most compliance officers use multiple tools to manage various compliance functions. With NRS ComplianceEssentials™ many compliance requirements are met with one system. And, compliance officers can assign different tools to different users. For example, ‘control persons’ might have access to the Code of Ethics and the attestation but not the firm’s Policies and Procedures manual.
NRS ComplianceEssentials™ includes model policies and procedures, a model code of ethics and tools to assist you with meeting the privacy notice requirements. In addition, there is a Document Management system in which firms can access NRS model documents as well as upload their own.
In addition, we have added 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!
Most compliance officers use multiple tools to manage various compliance functions. With NRS ComplianceEssentials™ many compliance requirements are met with one system. And, compliance officers can assign different tools to different users. For example, ‘control persons’ might have access to the Code of Ethics and the attestation but not the firm’s Policies and Procedures manual.
NRS ComplianceEssentials™ includes model policies and procedures, a model code of ethics and tools to assist you with meeting the privacy notice requirements. In addition, there is a Document Management system in which firms can access NRS model documents as well as upload their own.
In addition, we have added 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:
Pricing starts at just $1,350 annually and includes updates whenever necessary. For more information or to view an online demonstration, please call NRS Sales at (860) 435-0200.
- 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.
- 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.
Add the NRS ComplianceEssentials™ Annual Review Tool and the NRS ComplianceEssentials™ Email Monitoring and Archiving Tool to complete your compliance solution!
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