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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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

Regulatory Exams – Setting the Tone and Putting Your Best Foot Forward

August 16, 2018

The SEC’s 2018 National Exam Priorities[i] clearly lays out five principals guiding the Office of Compliance Inspections and Examinations (OCIE).  Three of those five are centered heavily around technology and the data driven approach to examination efforts.   The Commission’s advances…

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Captain Obvious Warns RIAs About Advisory Fee Refunds and Financial Condition Disclosures

August 7, 2018

Captain Obvious is a fictional character in commercials who is portrayed as a being a tall and thin sea captain with a beard. It should not take Captain Obvious to warn Registered Investment Advisers (“RIAs”) about their duty to return…

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SEC Action Regarding Fixed Income Pricing

August 1, 2018

In May 2018, the Securities and Exchange Commission (“SEC”) brought a case against Premium Point Investments LP (“PPI”) whereby PPI engaged in a fraudulent scheme to inflate the value of fixed income securities (PPI invested in RMBS, Subprime RMBS, and…

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