While creating policies and procedures and drafting a two or four page disclosure document seems easy, the underlying navigation of identifying conflicts of interest, mitigating and disclosing those conflicts, disclosing fees and costs of services and investments, as well as disciplinary history can become daunting – particularly when this disclosure is submitted to the SEC and policies and procedures are reviewed by regulators.
NRS has a full suite of services to help you start off in compliance and stay confident in your compliance including:
- On-Demand training and in-person conferences for Regulation Best Interest and Form CRS
- Form CRS Technology and Consulting Solutions
- Regulation Best Interest Targeted Compliance Reviews
- Solely Incidental Interpretive Release Focused Review
- BI Disclosure Technology Solutions (Rep-specific information)
- Policy and Procedure content and updates