Washington, D.C. – Nov. 4, 2015 – NCS and Regulatory Compliance exhibited and spoke at the recent 2015 NSCP conference where Director, Division of Enforcement for the SEC, Andrew Ceresney, gave a keynote address discussing the Enforcement’s perspective on compliance officers and how enforcement cases that touch compliance personnel are approached.Read More
National Compliance Services and Regulatory Compliance join forces to form full-service compliance consulting powerhouse
New York – Oct. 27, 2015 – National Compliance Services Inc. (NCS) and Regulatory Compliance LLC, two of the nation’s longest-serving regulatory compliance consulting leaders, announced today they have signed a definitive agreement to merge. This strategic combination creates a single source of compliance consulting services and solutions for registered investment advisers (RIAs), broker-dealers (BDs), hedge funds and other financial services clients.
Each with 20+ years of experience in the registration and compliance consulting space, the two privately held companies have enjoyed strong growth in recent years, fueled by an increasingly demanding regulatory environment and the trend toward investment advisory independence.Read More