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

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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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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

The Ins and Outs of Outsourcing Compliance

Compliance is one extremely important element of operating a registered investment adviser (RIA) or broker-dealer, and many financial services professionals fall short in this area. For that reason, firms should decide whether outsourcing compliance is worthy of consideration. As they make this decision, firms should recognize that there are many options available, not just outsourcing the chief compliance officer (CCO) position. In this excerpt from Modern Compliance Volume II: Best Practices For Securities & Finance, Mark Alcaide explores how outsourcing can benefit RIAs and broker-dealers.

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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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