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:
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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 MoreForeside Announces Acquisition of NCS Regulatory Compliance to Enhance Outsourcing Solutions to Financial Services Industry – Acquisition expands Foreside’s technology capabilities and regulatory and compliance solutions PORTLAND, Maine – January 3, 2019 – Foreside Financial Group, LLC (“Foreside”), a provider…
Read MoreBefore technology took over our lives and data started growing exponentially, the U.S. Postal Service was “the” Big Data processor and repository in North America and perhaps the world. To state that it is an institution of American life is…
Read MoreOn December 14, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert titled “Observations from Investment Adviser Examinations Relating to Electronic Messaging”. Based on a series of limited-scope examinations, OCIE reviewed electronic messaging for business-related…
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