These useful resources will help you stay up to date on the latest industry trends and technologies.

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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.
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Evolution Revolution 2018
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.
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FIRE Solutions
June 20 2018 - Resource

FIRE on your side

Read the latest FIRE on Your Side e-news extract on the Senior Safe Act by filling out the form below.
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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
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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 […]
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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 […]
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FIRE Solutions
January 10 2017 - Resource

FIRE CE Needs Analysis Template

The Firm Element Continuing Education Document is a structured template that allows compliance officers to conduct a needs analysis and plan out training as it relates their Firm Element Program.
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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.
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September 14 2015 - Resource

Getting the Message Right

For every financial institution, the proper supervision driving compliance requirements related to advertising, communications and correspondence is one of the most challenging aspects of their compliance responsibilities. This whitepaper covers the common challenges of managing advertising compliance, solutions enabled by technology and automation, and what you can achieve.
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July 10 2015 - Resource

Robo Advisers

At any level of involvement with robo-advisers, advisers must remain cognizant of their compliance responsibilities as well as the ongoing fiduciary duty they owe their clients. The use of robo-advisers may lead to a false sense of security if advisers feel they are relieving themselves of liability with respect to those outsourced functions. This whitepaper […]
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