Resources
These useful resources will help you stay up to date on the latest industry trends and technologies.
December 2 2019 - Resource
View our IACCP® / IA Core Lookbook
Are you ready to establish your foundation as a Compliance Professional? Learn how you can take your career in compliance to the next level by starting your path towards the Investment Adviser Core Compliance program or the Investment Adviser Certified Compliance Professional® (IACCP®) designation.
Read full article
November 14 2019 - Resource
View our ComplianceGuardian Video
Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Helping Investment Advisers and Broker-Dealers master compliance with greater confidence. View the video below or visit our Lookbook here.
Read full article
October 8 2019 - Resource
View our ComplianceGuardian Lookbook
Introducing the new and improved ComplianceGuardian™ for Investment Advisers and Broker-Dealers. Check out our lookbook to see our latest improvements.
Read full article
September 12 2019 - Resource
Evolution Revolution 2019
The 2019 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS)
Read full article
July 16 2019 - Resource
What the SEC Releases Require you do Ahead of Reg BI
This webinar explains how the SEC’s two new interpretive releases, which go into effect upon publication in the Federal Register, may require immediate changes in your compliance program.
Read full article
September 6 2018 - Resource
Evolution Revolution 2018
The 2018 Evolution Revolution report is an annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS), which is integrated with Accuity. The report offers the most comprehensive profile of SEC-registered investment advisers, containing data on 12,578 firms that manage $82.5 trillion for more than 34 million clients this year and employ more than 800,000 workers.
Read full article
May 21 2018 - Resource
The Evolution of the Cybersecurity Exam
A compliance reporter webinar. Hosts: Kurt Wachholz, Executive Consultant – NRS, and Alex Santos, CEO – Fortress Information Security
Read full article
August 1 2017 - Resource
Evolution Revolution 2017
The just-released 2017 Evolution Revolution also shows that the investment adviser profession remains a powerful provider of high quality jobs as it evolves to meet the demands of a growing, tech-savvy client demographic. The 17th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that […]
Read full article
March 20 2017 - Resource
Transactional Exemption Module
While mutual funds may be exempted from state registration, they are still subject to state notice filings and payment of fees. Many of the state fees are calculated as a percentage of aggregate sales in the state. This whitepaper will outline how you can decrease expenses for paying state notice filings and fees, maximize recognition […]
Read full article
May 10 2016 - Resource
Evolution Revolution 2016
The 16th edition of this annual joint study by the Investment Adviser Association (IAA) and National Regulatory Services (NRS) paints a picture of a strong industry that has remained resilient despite flat markets.
Read full article
