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NCS Provides Comprehensive Broker Dealer Compliance And RIA Registration Services


NCS Provides Comprehensive Broker Dealer Compliance And RIA Registration Services

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Florida, United States, 12th March 2014 - National Compliance Services, NCS, is an experienced and competent broker dealer compliance and RIA registration service provider, offering comprehensive solutions to make the process simple and hassle-free. The company has a team of expert professionals who have vast industry experience and in-depth regulatory knowledge, providing dedicated consulting services for compliance and registration. With more than two decades of experience, ability to scale, and technological sophistication, the company helps broker-dealer businesses and registered investment advisors in their strategic business decision.

NCS provide hands-on technology-powered solutions to help broker dealers and investment advisors in matters pertaining to complex compliance and registration process. For broker-dealers handling compliance issues for the first time or an established business looking to outsource a part of their core compliance functions, National Compliance Services provide a wide range of capabilities, which include:

• Broker-dealer registration

• Breakaway broker transitions

• Broker-dealer compliance consulting

• Private equity, hedge fund, and mutual fund assistance

• Providing online compliance webinars and checklists on monthly basis for policies and procedures audit

In addition to this, NCS provides comprehensive investment advisor registration services, guiding the clients through each step of the process, preparing important documentation, and providing assistance for complex regulatory issues. The company posses vast expertise and knowledge, which expedites and speeds up the registration process by eliminating common mistakes and errors that can delay regulatory review and approval process. Professional investment advisor compliance and registration services from NCS encompass:

• Pre-registration assistance and consulting

• Telephonic interview for discussing important matters related to RIA registration

• Preparing and filing SEC/state registration forms accurately

• Preparing and filing Form ADV

• Online registration, support tools, and compliance

• Written code of ethics, policies and procedures presented in customized online format or template

• Continuous compliance support services including renewals, updates, and yearly updating amendments

Compliance is an obligation for both investment advisors and broker-dealers. Considering this fact, NCS strives to streamline the process of broker dealer compliance and RIA registration, which can otherwise have dire impact on business. The company provides a wide range of solutions to help broker dealers and investment advisors to meet their compliance and registration obligations in a hassle-free and cost-effective manner.

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About The Company

National Compliance Services (NCS) offers hands-on and technology-powered solutions to help investment advisers and broker-dealers in today’s complex and fast-paced business environment mitigate risks. They empower financial firms to meet today’s rigorous compliance obligations.

Contact Information

National Compliance Services, Inc.

Address: 355 NE 5th Ave., Suite 4, Delray Beach, Florida 33483

Phone: (561) 330-7645



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NCS Provides Comprehensive Broker Dealer Compliance And RIA Registration Services