Expert Compliance Support,
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RIA Services

Trusted RIA registration, compliance, and litigation support services.

Broker-Dealer Services

Comprehensive registration and compliance services for Broker-Dealers.

Compliance Consulting

Expert one-on-one consulting to meet your compliance obligations.

Examinations & Assessments

In-depth preparation for an audit with a variety of evaluations and tools.

Technology Tools

State-of-the-art technology tools that make compliance simple and cost-effective.

Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, NCS Regulatory Compliance can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can provide support to improve your registration and compliance needs. Ready to jump in? Begin your registration here:

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Cyber Security Watch

Combining what we know with what technology can do – leading the way in regulatory compliance

Cybersecurity is unfamiliar territory for many investment adviser and broker-dealer firms, despite the fact that most organizations maintain an online presence and use online software services containing sensitive firm or client information. NCS Regulatory Compliance offers cybersecurity assessments to evaluate your current compliance status, analyze your vulnerability to attack, and provide guidance to reduce risk.

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Upcoming Webinars

Check out our web-based educational seminars. NCS Regulatory Compliance provides independent learning programs and an all-inclusive selection of hot topics designed to enhance your individual knowledge and also to benefit your firm’s compliance best practices.

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Recent Blog Posts

Combining old-school methodology with social media technology to open individual company 401(k) investment advice relationships

July 24, 2017

My individual company 401(k) retirement plan participant prospecting began in the summer of 1999. I started prospecting my existing clients. At the time, I wasn’t aware of any other investment advisor who was offering to analyze an individual investor’s company…

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Are you adequately disclosing your conflicts of interest?

July 14, 2017

On February 26, 2015, in her keynote address at the IA Watch 17th Annual IA Compliance Conference, Julie Riewe, Co-Chief of the Asset Management Unit within the Division of Enforcement (“AMU”), stated that, in nearly every ongoing matter, the AMU…

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FINRA Turns Up the Heat on Registered Representatives and Broker-Dealers

July 7, 2017

On May 11, 2017, FINRA took the next step in its ongoing initiative to strengthen controls on Registered Representatives (“RRs”) with a history of significant past misconduct. FINRA is also taking steps to ensure that the firms employing high-risk brokers…

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