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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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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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Recent Blog Posts

SEC Raps Wrap Fee Sponsor That Failed To Consider Managers’ Trading Away Practices

September 10, 2018

On August 14, 2018, the SEC settled an enforcement action involving a Registered Investment Adviser (“RIA”) that failed to inform clients about the costs arising from trading in wrap accounts. When clients enter into wrap fee arrangements, they pay one…

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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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