Expert Compliance Support,
Your Best Investment Yet

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 support your registration and compliance needs. Ready to jump in? Begin your registration here:

Start Your RIA Registration Start Your BD Registration FINOP and Regulatory Accounting Cybersecurity Services

Not the online form type?

Feel free to call (800) 800-3204 or email us at info@ncsregcomp.com.

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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Cybersecurity Services

Do you know the five major areas every Investment Adviser and Broker-Dealer should focus on to meet the SEC’s and FINRA’s expectations on cybersecurity? Watch our video to find out and learn more about NCS Regulatory Compliance Cybersecurity services.

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NCS Regulatory Compliance in the News!

Lori Weston, Vice President at NCS Regulatory Compliance, talks to Matt Ackermann from Investment news at Schwab IMPACT 2017 about how RIA’s can successfully market their business without hitting any compliance traps. Watch the full interview.

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Whitepapers

2017 Electronic Communications Compliance Survey Report

The seventh annual Smarsh survey of compliance professionals in the financial services industry reveals that the electronic communications compliance landscape has become broader, more complex and more scrutinized.

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Recent Blog Posts

Compliance Pitfalls with Fixed Income Odd Lot Securities

July 16, 2018

Back in December 2016 the Securities and Exchange Commission (“SEC”) brought a case against PIMCO whereby PIMCO used odd lot securities in a newly launched fixed income fund. At the time, PIMCO agreed to be censured and consented to the…

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Protect Yourself From Card Skimming This Summer!

July 3, 2018

It’s summer time, sunscreen in your pocket while you’re vacation to a popular, sunny getaway…or a business trip.  After swiping to cover that delicious dinner, your waiter returns with your credit card, the same card you used for those soft…

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GDPR – A Primer

June 1, 2018

As you know, unlike MFIDII or other pan-European regulations, the General Data Protection Regulation ( GDPR ) reaches beyond the EU and impacts those businesses that formerly thought they were safely ensconced in the U.S. For some, they are still…

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