News

NCS Regulatory Compliance Hires Chief Marketing Officer

LONDONDERRY, NH – NCS Regulatory Compliance is pleased to announce that Caroline Kirkfield-Chick has joined the firm as Chief Marketing Officer, effective December 19, 2016. Caroline served most recently as Vice President of Sales and Marketing for Silverstone Living. In this role, she successfully oversaw a comprehensive rebranding initiative, including...

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NCS Regulatory Compliance Announces Launch of New Brand and Website

LONDONDERRY, NH – NCS Regulatory Compliance is pleased to announce the successful launch of their new website www.ncsregcomp.com, which features fully mobile-responsive technology, comprehensive integration of features including client login portals, and access to extensive compliance resources for investment advisers and broker-dealers. The website also debuts the firm’s new logo,...

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National Compliance Services and Regulatory Compliance join forces to form full-service compliance consulting powerhouse

New York – Oct. 27, 2015 – National Compliance Services Inc. (NCS) and Regulatory Compliance LLC, two of the nation’s longest-serving regulatory compliance consulting leaders, announced today they have signed a definitive agreement to merge.  This strategic combination creates a single source of compliance consulting services and solutions for registered...

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Chief Compliance Officers Face Aggressive Enforcement Actions

Fiscal year 2014, which ended in September, was a busy one for the SEC. The SEC filed a record 755 enforcement actions and obtained orders totaling over $4 billion in disgorgement and penalties. By way of comparison, the SEC filed 686 enforcement actions during fiscal year 2013 and obtained orders totaling $3.4 billion in disgorgement and penalties.

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