Consulting

Expert NRS compliance professionals bridge the divide. They are experienced working in the private sector and for regulatory bodies. They are deft at balancing your business needs with regulatory requirements, helping firms like yours remain in compliance while minimizing burdens on business processes.

NRS Consulting Compliance Professional services provide firms with compliance expertise required to meet tough regulatory demands. This includes customized, practical reviews and services that can be leveraged to evaluate and strengthen your firm’s compliance program.

NRS Consulting Compliance Professional engagements comprise a range of solutions and services.

On-site Compliance Reviews

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Annual Review

As part of the Investment Advisers Act of 1940 Rule 206 (4) – 7 (17 CFR 275.206(4)-7), investment advisers and dually registered firms are required to conduct annual reviews of their policies and procedures to assess their adequacy and effectiveness. In a 2017 Risk Alert, SEC staff noted that failure to conduct annual reviews, as […]
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Anti-Money Laundering Audit

New ways to launder money and engage in fraudulent activities have put broker dealers under increased pressure to remain compliant. The USA Patriot Act and FINRA Rule 3310, require broker dealers and dually-registered firms to design and implement an AML program that includes appropriate policies and procedures, a customer identification program, and an annual review […]
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Compliance Program Review

NRS Compliance Reviews help firms stay ahead of ever-changing FINRA, SEC and State Regulations. Our expert consultant compliance professionals execute a comprehensive assessment of your firm’s compliance program, test it against applicable regulatory requirements and expectations, and help identify and remediate compliance risks. NRS conducts a thorough review with an emphasis on policies and procedures, […]
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Cybersecurity Review

The SEC continues to emphasize that cyber security protection is critical to the operations of financial markets. In its recently released National Exam Program Examination Priorities, the Office of Compliance Inspections and Examinations (OCIE) reiterated that the Commission is focused on working with firms to identify and manage cyber security preparedness in the securities industry. […]
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Independent Compliance Consultant Review

Regulators and firms involved in enforcement proceedings often rely on NRS to serve as the independent compliance consultant approved to assist with oversight and remediation. While the specifics vary based on the client’s situation, such engagements frequently include: Off-Site Review: NRS will request a series of compliance documents responsive to the issue outlined in the […]
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Mock SEC Examination

The Securities and Exchange Commission continues to increase its exam pace especially for those investment advisers that have not been examined within the last three years. Through our Mock SEC Examination, NRS tests your firm’s preparedness for examination. The mock examination evaluates the ability and preparedness of your firm’s key personnel, processes and records to […]
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Registration Services

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Broker-Dealer Registration

Open your new broker dealer firm with an effective compliance infrastructure from day one. Financial Industry Regulatory Authority (FINRA) membership does not come easily, especially considering the in-depth knowledge and exhaustive effort that is required to complete the appropriate filings. NRS compliance professionals apply efficiency and knowledge to the process, guiding broker dealers through registration […]
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Investment Adviser Registration

Registering as an Investment Adviser with the SEC or state regulators is increasingly complex. Completing the required registration documents requires time and expertise — whether you are a sole proprietor opening your own firm or a billion dollar private fund that is no longer considered exempt. There is no reason to do it alone. NRS […]
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Outsourced Partnerships

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Annual Updating Amendment

Partner with NRS and our compliance professionals to ensure the timely and accurate filing of your Form ADV annual updating amendment and payment of annual renewal fees for your firm. The Annual Updating Amendment Service provides support at two critical times during the year and includes: Assistance with the annual IARD renewal of state registrations […]
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NRS Partnership Program
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NRS Partnership Program

Gain compliance confidence – make NRS your compliance partner through the NRS Partnership Program. The program combines access to our expert compliance professionals, our education programs and courses as well as ComplianceGuardian™, our flagship software. Your firm will benefit from a dedicated expert compliance professional and a full complement of consulting services as well as […]
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Premier Compliance Partnership

Compliance requires a sophisticated mix of skills, responsibilities, knowledge and personal skills not readily available in many firms, that strain resources and threaten their ability to maintain compliance. NRS Premier Compliance Partnership services are delivered by NRS’ expert compliance professionals and; Supplement your internal compliance teams with deep expertise that helps your firm keep pace […]
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General Compliance Consulting

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General Compliance Consulting

NRS is the recognized expert in testing and assessing the adequacy and effectiveness of firms’ compliance efforts. NRS Compliance Consulting helps ensure that compliance programs are ready to meet demanding regulatory challenges. NRS has decades experience providing customized compliance services and solutions to the financial services industry. Firms benefit from the knowledge and expertise of […]
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