From initial registration through ongoing compliance support, NCS Regulatory Compliance complements our industry-leading expertise with online compliance management tools that automate routine compliance and monitoring tasks, eliminating costly and error-prone manual procedures. Easy-to-use online tools and a user-friendly interface streamline compliance tasks, including regulatory filings, in one centralized location. Our programs provide continuous online access to:
Form ADV Part 2A, Part 2B, Appendix 1
Our team creates and maintains your plain English disclosure brochure and individual brochure supplements based on your business model and supervised persons. Changes to these documents are tracked to provide a traceable, historical record and are made readily accessible in order to meet your books and records requirements.
Policies and Procedures Development and Customization
The NCS Regulatory Compliance web-based management system creates and manages the lifecycle of your firm’s compliance policies & procedures through creation, communication, monitoring, maintenance, and version control. Documents are readily accessible, allowing for coordinated updating and tracking. Other system features include:
- Archive of different versions to meet books and records requirements
- Forms to assist in customization of your firm’s manual
- Management of firm-specific content and file uploads
- Quarterly and on-demand updates, without overwriting existing data
- Alerts regarding new rules and updates
- Version control of all documents
Model Code of Ethics
We create and maintain your firm’s code of ethics, based on detailed feedback provided by your key stakeholders. By making these documents readily accessible to you and NCS Regulatory Compliance, we allow for coordinated review and updating to ensure complete version control.
Business Continuity Planning/Privacy Notice
Our team of qualified compliance professionals establishes a business continuity plan and privacy notice based on your firm’s compliance requirements. Changes to these documents are meticulously tracked to create a historical record that meets your books and records requirements.
Customized Compliance Calendars
NCS Regulatory Compliance creates and manages a fully customizable compliance calendar to track your recurring compliance tasks. Your personal calendar and alerts, along with mandatory tasks such as annual amendments and renewal payments, are seamlessly integrated for your convenience. Additional features include:
- Reports on upcoming or completed tasks
- Alerts for important dates and filings
- Notifications and reminders of important deadlines
- Upload feature for supporting documents
Personnel Tracking Tools
Our team helps you manage the submission, approval, and archive of personnel information to meet books and records requirements. We help you record and report on your supervised person’s activity with online forms including:
- Outside business activities
- Social media protocols
- Background check authorizations
- Attestations and acknowledgments
Monthly Online Compliance Checklists
We provide access to a series of monthly compliance checklists designed to help you complete the annual review of your compliance policies & procedures. The monthly checklist can be used to gain a better understanding of your compliance obligations and as a tool for continuing education and training.
Form 13 Filings
NCS Regulatory Compliance reviews and processes your Form 13F or Form 13H filings, collecting and reviewing the needed information and submitting all forms with your approval.
- Online Compliance Manuals
Web-based Compliance Management System
Our web-based management system lets you manage your firm’s compliance policies & procedures, archive old versions of documents to meet the books and records requirement, customize your compliance manuals, manage firm-specific content, upload files, generate quarterly and on-demand reports without overwriting existing data, and receive alerts regarding new rules and updates.
The Fintrax™ software streamlines how you monitor and manage your financial data to maintain compliance. Fintrax™ is easy-to-use, downloadable, and licensed, automatically collecting your data and calculating important values, such as required net capital. Our software gives you the ability to minimize financial reporting problems and conduct detailed transaction review for improved compliance functions.
NCS Regulatory Compliance 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.
Library of Documents
NCS Regulatory Compliance is constantly updating and expanding our extensive library of compliance documents to provide timely and useful information. Our expansive library of documents is fully searchable by keyword and includes:
- Privacy notice
- Risk matrix template
- Advertising review
- Recommended file folder labels
- Solicitor licensing guide
- Calculating regulatory assets under management
- Examination requests lists
- Best Execution checklists
Online Research, News, and Regulatory Updates
NCS Regulatory Compliance provides access to a robust database of online research, SEC rules and related no action letters, releases, statutes, industry-specific news and regulatory updates. You are also individually notified of regulatory changes, enabling your staff to review and map changes to relevant processes, procedures, and training.