SEC/State Registrations and Transition Filings
Our expert team guides you through the registration process, offers hands-on assistance to navigate complex regulatory issues, and helps you avoid common mistakes that could delay the regulatory review and approval process.
NCS Regulatory Compliance will prepare your registration application as a Commodity Pool Operator, Commodity Trading Advisor, or Introducing Broker, working closely with you to ensure the successful and timely registration of your firm and any associated persons. We will respond to any inquiries from the NFA as the application is reviewed and assist with any follow-on documentation until the firm’s membership is approved.
NCS Regulatory Compliance provides outsourced CCO relationships to clients that are good candidates for the program. Through analysis and assessment, as well as discussions with key stakeholders and review of goals, we work to determine if an outsourced CCO is the right fit for you.
We offer ongoing compliance services including technology-driven support to assist you in maintaining a robust compliance infrastructure. Our fully-customized programs support a variety of business models, practices, and budgets.
Cybersecurity Compliance Program
NCS Regulatory Compliance works with you to develop a cybersecurity program that fits your business, complies with SEC guidance, and is consistent with industry best practices.
NCS Regulatory Compliance conducts a thorough review of your form filings. Based on your current practices, business model, and regulatory requirements, we provide recommended edits for compliance with disclosure requirements, or produce a complete rewrite if needed. Our team offers fast, reliable, cost-effective filings and support for the following:
- Annual Updates to Form ADV
- Form ADV Reviews & Rewrites
- Form ADV Part 2A-Appendix (Wrap Fee Program Brochures)
- Form ADV Part 2B Filings
- Form 13F & 13H Filings
- Form PF Filings
- NFA Form PQR
On-boarding/Termination of Investment Adviser Representatives
NCS Regulatory Compliance provides a wide range of on-boarding solutions, including background checks of new hires, preparation and submission of individual state and firm registration filings, and exam waiver requests. We also prepare and submit individual termination filings and manage applicable individual and firm notice filing requirements.
Annual Renewals and Year-end Regulatory Obligations
Our team assists you with renewals and Form ADV Annual Updating amendments, helping ensure the registration status of the firm and your investment adviser representatives in all necessary jurisdictions.
IARD Account Administration and Web CRD Filing Pro Services
We work with you to open and maintain an Investment Adviser Registration Depository (IARD) account, and submit your regulatory filings through IARD. The IARD system is an electronic filing system operated by FINRA that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of investment adviser firms. Our experience and relationships with regulators keep us up-to-date regarding entitlements, system updates, fee changes, and much more.
Annual Reviews (Rule 206(4)-7 Exams) and Mock SEC & State Audits
Through a combination of onsite and offsite reviews, we conduct a comprehensive assessment of your firm’s compliance program, as required by the Advisers Act and certain state regulations, and produce a report evidencing the review. When concerns are identified, recommendations for compliance are provided. Through mock audits, we alert you to potential compliance problems before they are identified by an examiner.
Regulatory Exam Assurance
If you’ve been contacted by your regulator regarding an exam, contact us next. Our team will work through the document request list with you, assist you in preparation, and offer guidance to you as you prepare appropriate exam responses.
Advertising Audits & Reviews
NCS Regulatory Compliance will conduct an advertising review (including websites and social media) to determine if you’re in compliance with applicable regulatory requirements. We can help you create and revise the content on your website, provide you with model disclosures, and develop written policies and procedures related to your website or other forms of advertising.
Our team conducts risk reviews, prepares risk assessment matrices, and develops written policies and procedures to address risk exposure in order to identify and mitigate conflicts of interest and associated compliance risks.
Customized Compliance Calendars
NCS Regulatory Compliance creates your customized compliance policies and procedures calendar specifically tailored to your Investment Adviser operations. Our online automated compliance calendar will keep you on top of your regulatory obligations.
Series Exam Preparation (Series 65)
Series 65 Uniform Investment Adviser Law Exam (RIA) Included is the Hard copy manual and the CD-ROM with final exams.
We offer compliance manuals including model Code of Ethics, Business Continuity, Cyber and more.
Monthly Newsletter & Interactive Self-Test
NCS Regulatory Compliance will educate you on relevant regulatory changes with our monthly newsletter. And, our monthly electronic, interactive checklists will assist you in fulfilling your obligation to annually review the firm’s compliance program for effectiveness.
NCS Regulatory Compliance currently verifies more than 45,000 RIAs and Investment Adviser Representatives annually. By selecting our qualified team to review and oversee your credentialing, you can better manage compliance risk and eliminate any gaps in essential credentialing. By guaranteeing the necessary due diligence in the monitoring and management of your staff’s credentials, you can better prevent a regulatory compliance concern.
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