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.
Many investment advisers provide investment advice to 401(k) plans. In these instances, the 401(k) Plan itself is the client. In other words, the adviser is hired by the employer to design or manage the Plan itself. In other cases, the...
Learn MoreMutual funds continue to face headwinds that require nimble reactions and flexibility – neither of which are easy feats given the ever-shifting regulatory landscape. Continued pressure on fees, industry consolidation, and increased demand for transparency from investors all present challenges…
Read MoreFINRA recently issued Organizational Deficiencies in Web CRD to several member firms seeking corrections to responses provided in item 10A: Control Affiliates of Form BD. Question 10A reads: “Directly or indirectly, does applicant control, is applicant controlled by, or is…
Read MoreIt’s that time of year again when most Registered Investment Advisers are preparing their Annual Updating Amendments to Form ADV. Please click below to read the article that was featured in the February 2019 issue of the IAA Newsletter. IAA_February19_2019_ComplianceCorner – Tips…
Read More
