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
- 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 Chad Jones at 561-330-7645 X 210 or by e-mail: chad@ncsonline.com