BROKER-DEALER SERVICES:

• Continuing Membership (CMA) Applications

• Review, draft and update Written Supervisory Procedures (WSPs) and Compliance Manuals

• Conduct a 3012 Supervisory Controls Review and Assessment

• Perform mock SEC and FINRA examinations of the Firm and conduct OSJ and branch office examinations

• Review Anti-Money Laundering Compliance Procedures and perform independent AML audits

• Review Trade surveillance and reporting

• Conduct Continuing Education Needs Analysis and Training

• Conduct Annual Compliance Meetings and Compliance Seminars

• Provide FINOP Services and FOCUS Reporting/Review

• Provide Registration Services/Web CRD filings

• Review Client Documentation and New Accounts

• Review Operations functions, including clearing relationships

• Review Disaster Recovery Planning and Updating of Business Continuity Plan

• Review communications with the public: e-mail, correspondence, advertising, sales literature, website content and research reports

• Keeping abreast of the changing regulatory environment – information sharing with management -- interpretative assistance with respect to rules, regulations and best practices

LITIGATION SUPPORT SERVICES:

We continue to witness the extent to which the regulatory challenges facing the broker-dealer and investment adviser communities grow even more intense and become more complex.  In these times of proliferating litigation, expanding enforcement activity and sweeping regulatory scrutiny, NCS can be of assistance as you continue to provide your clients with effective compliance support. 

NCS is a dynamic group of experienced former senior regulators, accomplished and widely-recognized Compliance professionals and successful business people, all of whom possess the experience, knowledge and manner of presentation to complement your expertise in the legal and securities fields.  National Compliance Services, Inc., headquartered in Delray Beach, Florida with offices in the New York metropolitan area and Consultants located throughout the United States.

•  Interface with Federal and state regulatory authorities and SROs

• Case preparation and analysis

• Document Review

• Expert Analysis and Testimony

• Compliance Assessments and Programs

• New Member and Continuing Membership Applications

• Regulatory filings and reporting

• Due Diligence in connection with Mergers and Acquisitions

• Special Investigations and Mandated Reviews

• Interpretative assistance with respect to rules, regulations and best practices

If you have any questions regarding any of our Broker-Dealer Services, please contact Erik Aschenbrenner at 561-330-7645 X 308 or by e-mail: easchenbrenner@ncsonline.com