The Verification of Credentials is Critical to Your Compliance
NCS Regulatory Compliance currently verifies more than 45,000 RIAs and Investment Adviser Representatives annually. By selecting our qualified team to review and oversee your credentialing, you can better manage compliance risk and eliminate any gaps in essential credentialing. By guaranteeing the necessary due diligence in the monitoring and management of your staff’s credentials, you can better prevent a regulatory compliance concern.
Proper Designations Means Greater Success for Your Firm
Our team offers a full suite of verification services to ensure your staff and partners maintain the proper and current credentials, including firm registration and notice filing, adviser representative registrations, adviser representative reported disciplinary history, proper registration of solicitors, registration of wholesalers and third-party vendors, and criminal and credit background reports.
Support and Services for Your Verification Needs
Let the NCS Regulatory Compliance team help you verify the credentials of your complete team, from internal employees to external vendors and support staff. To learn more, contact us below.