NCS Regulatory Compliance provides extensive exams and testing options to evaluate your compliance fitness. The following services are available by calling one of our locations or contacting us.
SEC/FINRA Compliance Exams: 206(4)-7, 38a-1, 3120, 3130
NCS Regulatory Compliance offers a detailed, risk-based approach to satisfy your compliance requirements as a broker-dealer or independent adviser. Our compliance testing covers procedures and processes chosen by the firm or identified as key areas through risk analysis. A comprehensive report that includes areas tested, testing methodology, gaps, and recommendation for remediation is provided.
Our team works with you to assess your cybersecurity protocols and develop a cybersecurity program that fits your business, complies with SEC guidance, and is consistent with industry best practices.
Anti-Money Laundering Independent Testing
We offer detailed Anti-Money Laundering (AML) testing to satisfy the FINRA Rule 3310 requirement for broker-dealers. Our extensive review and reporting confirms the integrity and accuracy of your AML program and its implementation.
Office Set-up Visits
NCS Regulatory Compliance offers an office set-up visit. Whether for a newly approved firm or a firm who has been in business for decades, this service helps to ensure you have all required files per FINRA and SEC recordkeeping rules.
Mock FINRA/SEC Examinations
Our team of professionals provides a comprehensive, customized examination of your firm’s policies and procedures, compliance systems, processes, and records. NCS Regulatory Compliance tailors the examination to include some or all of the areas a FINRA,SEC, or a state regulator will review.
Branch & Non-Branch Office Examinations
We provide a cost-effective review of your firm’s compliance with required office procedures, including supervision and recordkeeping, through a random review of books and records. Our comprehensive examinations mimic a FINRA onsite review and satisfy requirements under Rule 3110.