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Compliance on the Charles: Boston Regional Summit

June 14- | The Harvard Club of Boston

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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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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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Recent Blog Posts

Investors and Financial Services Firms Will Benefit by Searching With SALI

May 21, 2018

Not to be confused with the blues song, “Long Tall Sally,” the SEC’s new research tool, SALI, can help investors avoid singing the blues after dealing with an unsavory financial professional. The SEC Action Lookup for Individuals (“SALI”), which was…

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Don’t Commit a Foul During One-on-One Presentations

May 1, 2018

Although basketball is a team sport, one-on-one games are great exercise. Typically, players call their own fouls. When it comes to one-on-one presentations, however, examiners may call a foul on investment advisers who mislead clients and prospects. In its September…

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SEC Enforcement Action Reminds Advisers Not To Pass Along False Performance Claims

April 3, 2018

On March 22, 2018, a final judgment was entered against an investment adviser who was the former CEO of F-Squared Investments. There have been numerous enforcement actions related to F-Squared’s false and misleading performance claims, which were disseminated by other…

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